This accredited monthly e-journal offers you expert articles, covering knowledge and skills topics, plus technical and regulatory updates and access to 1 hour of structured CPD throughout the year. Each month we will feature the new months edition so you can rely on Advice Matters as a core element in your CPD.
Learning Outcomes
- Understand the due diligence that should be carried out on financial promotions
- Clarify what the FCA consider a financial promotion to be
- Confirm your understanding of when it is unlawful to communicate a financial promotion
- Discuss how changing the FCA’s perimeter of regulation will help to identify more financial promotions which are unclear, unfair and misleading to the customer
- State the history of different pension saving system changes
- Glean useful data to help your financial planning conversations with clients
- Be aware of the Pension Policies Institute’s four types of pension savers
- Know the regulators requirements for fitness and propriety
- State the roles that fall within the scope of the Certification Regime
- Explain what effective supervision is
- Be aware of different ways to assess an individual’s competence
- Consider what the regulator expects of firms in relation to T&C
- State the different levels of supervision linked to the risk the individual poses
- Clarify the regulator’s requirements of a regulated supervisor
- Know different ways to performance manage
Summary of the session
60 minutes of structured CPD
Assessment
Pass = 7 out of 9