Regulatory pressures on advice businesses have not been “locked down”
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Learning: Structured
Tutors:
- Mark Greenwood, Director of Compliance Services, SimplyBiz
- Jennifer Peaty, Field Compliance Development Manager, Compliance First
- Karl Dines, Head of Business Consultancy, SimplyBiz
- Davinia Rogers, Investment Services Director, SimplyBiz
Learning outcomes:
- To understand the most common compliance problems that advisers came across in 2021
- To gain an understanding of the FCA's 'Consumer Duty' and what it means for advisers
- To understand how the pandemic has changed the investment landscape
