An interactive seminar designed to provide an overview of the issues identified during our recent wealth management review work and to provide guidance on complying with our requirements in relation to retail clients.
Overview :
We have recently reviewed the suitability of retail client portfolios in a sample of firms in the wealth management industry. We have identified significant, widespread failings, which we are concerned may also be prevalent in firms outside our sample. This seminar aims to provide further information and guidance to compliance consultants and compliance officers of wealth management firms on the issues we have identified and how firms can demonstrate that they meet our requirements in relation to retail clients.
Attendees :
This event is aimed at compliance consultants of wealth management firms and the compliance officers of wealth management firms.
Places are limited to one delegate per firm and will be allocated on a first-come first-served basis.
Dates :
Thursday 8 December 2011, Financial Services Authority, London
Thursday 19 January 2012, The Midland Hotel, Manchester
Format :
A full-day event, including lunch
Fee :
Compliance officers from FSA regulated firms – £95
Compliance consultants – £250
Register :
London event – 8 December 2011
Manchester event – 19 January 2012
