MASTER: Supervisor Workshop



9:00 am

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.

What will it cover?

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

Why should I attend?

At the end of the course, delegates will be able to:

  • Explain the regulatory background and T&C rules
  • Explain the role of communication in effective supervision
  • Explain the learning process and utilise it to the benefit of colleagues
  • Demonstrate effective coaching and counselling techniques
  • Set and measure objectives effectively
  • Conduct effective observation meetings, giving appropriate feedback and setting follow up objectives
  • Record the masterclass as Structured CPD

Who will be hosting?

The event will be hosted by Cathi Harrison and Paul Taylor, of Apricity Compliance.

MASTER: Supervisor Workshop

Cathi is the Founder and Director of Apricity and sister company Para-Sols, an outsourced paraplanning firm. She holds both the Chartered and Certified Financial Planner status as well as being a Fellow of the Personal Finance Society.


MASTER: Supervisor Workshop

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.

? 26th March 2019
Where? Seven Investment Management LLP, 55 Bishopsgate, London, EC2N 3AS
Cost? £100 + VAT Apricity Clients or £150 + VAT for Non-Apricity Clients

How do I sign up?

Click the button on the top right of the page.