Suitability under the spotlight

Tuesday 6 December 2011 11:20 AM

Having levied fines of more than £30 million for Suitability failings in 2011, the FSA have shown they are serious about enforcing standards in this area.

So, how can you help your investment advisers and discretionary fund managers meet FSA expectations in this area of intense regulatory scrutiny?

CTP have developed a flexible, accessible and highly time and cost efficient way to make sure advisers and managers know how to meet Suitability requirements . . . and evidence to the regulator they do so?

Taking less than an hour, and making use of examples, client scenarios, case studies, quizzes and sample Fact Finds, Assessing Suitability is a new eLearning module that takes participants through the Suitability process and highlights the steps required to establish and record the risk profile and investment goals of clients.

For further information please click here, email or telephone 020 3170 5779.

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