FCA Webinar on Consumer Duty for Investment and Pension Advisers

As members in the North of Scotland may not have had the opportunity to attend the FCA's "Live and Local" events around the country in advance of the new Consumer Duty coming in, we have arranged for an abridged version of the Live and Local session to be run as a webinar for North Scotland members.

Members looking for the full Live and Local experience should check here and register for the FCA events directly.

The session will look at FCA requirements and rule changes in relation to the new Consumer Duty. This will focus specifically on the regulator’s expectations from a small/medium sized firm perspective and Mark will share examples of good and poor practice as well as questions that supervisors may ask of firms.

Please note that the session will be held under Chatham House Rules to allow members the freedom to raise questions with the speaker, for this reason the session will not be recorded. This session is available to members of the financial planning community who are CII / PFS members only, and respectfully request no journalists or members of the press. Members are asked not to record the session or to forward the invitation to those who have not registered.

• Understand the background to and the key elements of the Consumer Duty
• Identify the areas firms need to consider to ensure they are meeting the new requirements
• Understand the FCA’s supervisory approach to implementation of the Consumer Duty

Mark has worked in the profession for 35 years and joined the FSA’s Supervision Department in 2008.

During this time he has been involved in high profile projects such as pension switching, income drawdown and RDR implementation.

He worked on the assessment programme in relation to the fair treatment of clients and has been delivering the FCA’s Positive Compliance workshops for the last 8 years.

Mark was also involved in the development of the FCA’s Live and Local programme and as part of this, he hosts roundtables for advisers and also works with the FCA Chair at adviser events. He was involved in presenting the FCA’s Pension Transfer workshops and is a regular speaker at Personal Finance Society’s regional meetings.

He is currently delivering the FCA seminar programme on Consumer Duty around the UK