We live in an ever changing world of regulation. It’s a minefield (perhaps often, feels more like a battlefield?). But fear not, we’re running a workshop, which is specifically designed to improve the level of supervision within your firm, enabling you to get the most out of your supervisors, advisers, and everyone reducing risk across the whole company.
This fully interactive workshop will focus on the knowledge, skills and behaviours required to meet and exceed the supervision requirements within a regulated financial planning firm. Through practical, scenario based examples, the workshop will bring the challenges of supervision to life.
|9.00 – 9.30||Arrival and refreshments|
|9.30 – 11.00||Regulatory framework|
|11.00 – 11.15||Refreshment break|
|11.15 – 12.30||The supervisor role|
|12.30 – 13.00||Lunch|
|13.00 – 14.30||Observation skills|
|14.30 – 14.45||Refreshment break|
|14.45 – 15.55||Personality and change management|
|15.55 – 16.00||Close|
At the end of the course, delegates will be able to:
The event will be hosted by Cathi Harrison and Paul Taylor, of Apricity Compliance.
Paul is Compliance Support Manager at Apricity and is responsible for managing the team and identifying internal and external training needs. With a career which spans almost 20 years in Financial Services, predominantly as an adviser, he uses his knowledge and understanding of the advice process to best service clients in line with our approach of compliance.
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