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 key aspects of product oversight and governance
- Clarify the regulators expectations when creating new product and services
- State where you can find the rules and guidance on product oversight and governance in the FCA Handbook
- Confirm the steps a firm should take when addressing its approach to PROD compliance
- Understand the scope and the remit of the FCA; how it’s changing and how it may change in the future
- Discuss the implications of regulator enforcement
- Acknowledge the re-emphasis on pension advice
- Understand the extension to FOS and DISP compliant handling rules to larger SME’s
- Be aware of how the FCA are dealing with whistleblowing
- Know the various bodies the FCA are working with in their fight against financial crime
- State the specific areas the regulator is focusing on for the various financial service sectors
- Explain the effect of GDPR interaction
- Recognise the reoccurring GDPR themes
- Consider the difference in reporting figures to the ICO pre and post GDPR implementation
- Discuss the fines for non GDPR compliance
- Verify what your GDPR compliance plans should consist of
Summary of the session
60 minutes of structured CPD
Assessment
Pass = 21 out of 27