Course description
Client file reviews are an important part of a regulated firms compliance quality framework, specifically relating to evidencing: training and competence, vulnerability, TCF, the firm’s culture and robust advice adherence.
They can be used to evidence an advisor’s competence in their role as well as assuring the firm that customer needs have been met appropriately.
One of the biggest issues that firms encounter is ensuring that the checks are completed correctly, and the checker is competent in their role.
Presented by expert compliance consultant Jo Connolly, this virtual classroom seminar is suitable for supervisors and managers of advisors, senior managers, ‘heads of’ and managers of compliance, internal audit, and risk.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
Client file reviews are an important part of a regulated firms compliance quality framework, specifically relating to evidencing: training and competence, vulnerability, TCF, the firm’s culture and robust advice adherence.
They can be used to evidence an advisor’s competence in their role as well as assuring the firm that customer needs have been met appropriately.
The outputs from client file reviews should be used as a fundamental feedback data to highlight any identified advisor development areas.
One of the biggest issues that firms encounter is ensuring that the checks are completed correctly, and the checker is competent in their role.
This virtual classroom seminar is suitable for supervisors and managers of advisors, senior managers, ‘heads of’ and managers of compliance, internal audit, and risk.
What You Will Learn
This live and interactive course will cover the following:
- The purpose of a file review
- What a file review involves
- How the file should be presented
- File outcomes
- The challenges
- Action to be taken
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...