Wealth Management Seminar: Improving Quality and Increasing Standards
The Financial Services Authority is holding an interactive seminar designed to provide an overview of the issues identified during its recent wealth management review work and to provide guidance on complying with the requirements in relation to retail clients.
The FSA has recently reviewed the suitability of retail client portfolios in a sample of firms in the wealth management industry.
The regulators have identified significant, widespread failings, which may also be prevalent in firms outside the sample.
This seminar aims to provide further information and guidance to compliance consultants and compliance officers of wealth management firms on the issues the FSA has identified and how firms can demonstrate that they meet the requirements in relation to retail clients.
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.
The event will be held on 8 December 2011, Thursday, at the Financial Services Authority, London; and Thursday 19 January 2012, The Midland Hotel, Manchester
It will be a full-day event, including lunch, with a fee for compliance officers from FSA regulated firms at £95, and cCompliance consultants at £250.