This webinar will give you a whistle-stop tour, looking at some of the most prominent regulation that has taken effect recently, or is about to take effect. We will look at what adviser firms should have done by now, some examples of what good looks like, and some tips to prepare for upcoming regulatory changes.
PROD, MiFID II and SM&CR will all be covered, and the session will include the latest commentary and feedback from the FCA. There’ll also be a touch of horizon scanning, following the release of the FCA’s 2019/20 business plan, to help firms begin to plan ahead and be prepared for what the coming year may bring.
Who will be hosting?
The event will be hosted by Cathi Harrison, Paul Taylor and Tom Richmond of Apricity.
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.
Paul is Compliance Support Manager in Apricity. He holds 20 year’s experience in Financial Services, starting predominantly as an adviser, before crossing over into compliance.
Tom is our Technical Consultant and brings a wealth of compliance experience from previous roles and is passionate about identifying new and emerging regulatory trends, so you don’t have to!
When? 2nd Aug 2019, 10 – 10:30am
Where? Online, so everyone can play!