New CF31 Requirements for Mortgage Advisers

Course Code:
Dates:	On a date of your choice
Venue:	TBA
Course Fees:	Available on application
CPD Credits:	-

Meeting the new CF31 requirements for Mortgage Advisers
In Policy Statement 10/9 published in June 2010, the FSA confirmed the creation of a new Controlled Function 31 for Mortgage Advisers and the timetable for implementation. By 1st October 2011, advisers must have secured individual approval from the FSA to fulfill CF31 or cease advising customers.

This practical workshop has been developed to help firms and individuals understand the FSA 's new expectations of holders of CF31 and how to achieve and maintain approval under the new regime.

Attending the workshop will help you to:

Understand what the introduction of CF31 means for your business
Clarify who is covered and who is not under the new CF31 proposals
Effectively manage the approval process
Review the way systems and controls are allocated and overseen in your business
Develop a plan to meet the transitional requirements and ensure ongoing compliance

Who will benefit
This workshop will be of value to Mortgage Advisers, Sales Managers, Compliance and Training & Development professionals in all organisations offering mortgage advice.

Workshop programme

Session	Aim	Content
CF31: an overview	Review the scope and intention of the new regime	FSA objectives Who is affected
The implications for your Business	Know what you need to do and when	Transitional arrangements Post transitional
The implications for individual Advisers	Understand the standards Approved Persons should meet and how they apply in practice	Approved Person sandards, behaviours and obligations Principles and code of practice Personal liability CASE STUDIES – business scenarios that would give rise to breaches of principles
Attaining and maintaining approval	Know what information must be notified to the FSA and when	The process to attain CF31 approval and the forms required for notification Ensuring the information is maintained and up to date Maintaining Fit and Proper status Maintaining Competence
Planning the way ahead for your Business	Identify the work required to ensure your business is prepared for the new regime	Key tasks to perform prior to December 2010 Changes to your T & C scheme The implications of not taking this seriously Summary and Final Q & A

Workshop leader - Philippa Grocott

Philippa leads CTP's approach in the Retail Sector and brings to the role extensive experience of managing a major training function covering financial advice, mortgages and general insurance as Head of Learning – Direct Channels for Barclays Bank plc. This followed a highly successful career in sales which gives her the strong customer focus and business awareness which is much appreciated by clients.

As an independent consultant Philippa has been involved in training design and delivery projects for Offshore Call Centres, sales and sales supervision training for a major UK institution and bespoke TCF training for a major insurer.

Philippa holds the Advanced Financial Planning Certificate, Financial Planning Certificate and Certificate in Mortgage Practice. She is also an NLP Master Practitioner and holds a BTEC in National Business Studies.

Booking

If you are interested in booking this course, or if you have any questions, please call call us on 01327 858307.

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- Liz Cameron, Head of Direct Sales Compliance, Scottish Widows
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“CTP provided us with a versatile range of training services from e based testing to technical modules and skills training for our advisers and sales management. They work quickly to satisfy deadlines and think creatively to achieve sustainable results. ”
- Ian Lockhart, Sales Operations Director, Scottish Widows
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Corporate Training Partnerships Ltd, London Office: 60 Lombard Street, London, EC3V 9EA. Tel: 0203 1705779
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