Retail Products Workshop

Introduction

The Financial Conduct Authority (FCA) has emphasised the importance it places on client money and assets protection and even described it as its regulatory "mission". It is a key factor that customers must have confidence that their money and assets are safe and that the firms holding them have strong management and oversight control over their businesses. That is why firms should have policies and procedures in place to safeguard and manage client money and assets. But more importantly, it is indispensable that firms' staff should have the adequate and appropriate formal training and knowledge in this matter.

Content

A range of key issues emerge at present. Contractual issues in entering into new arrangements, unfair contract terms, insurance policy issues when these are tied into other products. Also relevant are disclosure issues, qualification for tax purposes, issues relating to unit trusts and OECIS, the new pension provisions and recent changes to the FCA rules.

Who should attend?

  • Sales directors
  • Those engaged in selling financial products
  • Those in charge of sales forces
  • Compliance officers
  • Legal advisers

Speaker

Professor Andrew Haynes BA (Hons) Law, PhD, Cert Ed, FRSA, FSALS

Schedule, Location and Price

  • Location: MPAC Group, 3 Beeston Place, Belgravia, London SW1W 0JJ
  • Price: £350 plus VAT and a 10% discount for more than one person from a single firm.
  • Please Note: Maximum of eight participants per workshop.

All attendees will receive a participation certificate with the workshop date and times, attesting to their participation in the workshop.

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