Training
Ensuring that your training materials and processes are and remain, FCA compliant
can be a time-consuming and a distraction from your core business activities.
Whilst all staff must comply with the FCA Code of Conduct, the rules vary depending upon their status, with the most stringent standards applying to company directors.
It is vitally important – particularly when recruiting – that IFA managers and principals ensure that their internal systems for regulatory compliance are fit for purpose.
For example, it is essential that firms take into account the requirements of the Senior Managers & Certification Regime (SM&CR) when recruiting at any level.
General & recruitment processes
IFA Consultancy provide an extensive training and support service. This provides IFAs with expert advice and support to complement their own HR function.
As always, this service is tailored to the needs of individual clients and covers FCA regulations as applied to general business practices and episodic events such as executive recruitment.
Our Training & Support Services
We offer custom training and support as a standalone service or within a wider IFA compliance support package.
Areas in which we can help include:
- SM&CR – internal training and recruitment oversight
- Senior Management Arrangements, Systems & Controls (SYSC)
- FCA Code of Conduct – all staff and senior staff protocols
- FCA Training & Competence regime assessment and reviews
- Supervisory regulations & Certification of staff
- Competence assessments and reporting
- Treating Customers Fairly
- FCA Money laundering regulations
- Regulatory updates briefing and training
- Document templates for training
- Face-to-face training and remote services
