Course description
Reviewing client files is an essential part of ensuring a business is healthy; the culture of a firm is on the right track; the client’s adviser has ‘remembered everything’, and the client is being treated fairly.
Presented by compliance consultant Jo Connolly, this webinar will cover the why, how and when of completing client file reviews.
Join Jo as she explains why we undertake client file reviews, and where to find the FCA rules relating to client file reviews. The webinar will also discuss how to create a check-sheet, to ensure your client file reviews capture all the information your firm needs, and how important effective feedback is.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
Reviewing client files is an essential part of ensuring a business is healthy; the culture of a firm is on the right track; the client’s adviser has ‘remembered everything’, and the client is being treated fairly.
This webinar will cover the why, how, and when of completing client file reviews.
Understanding more about how effective data can be gained and used will provide your firm with a robust basis on which to improve adviser performance and better evidence your firm is treating its clients fairly.
Consumer Duty is focusing the industry further into ensuring we are doing all we can to act in the client’s best interest - illustrating clear monitoring, analysis and evaluation of your firm’s client file reviews is a key tool in this process.
What You Will Learn
This webinar will cover the following:
- Why we undertake client file reviews
- Where to find the FCA rules relating to client file reviews
- Creating a check-sheet to ensure your client file reviews capture all the information your firm needs
- How important effective feedback is
Expenses
MBL Seminars Limited
MBL is a leading learning and development provider for professional service firms. Over the past 18 years, more than 198,000 people across 23,000 different organisations spanning 81 countries, have chosen us to deliver their training. With over 800 expert speakers...