PFS Workshop: Using MiFID as an opportunity to revisit and refresh your advice process by Rory Percival

This session will cover a range of topics that are covered by MiFID II but using this as an opportunity to discuss the FCA’s wider concerns about certain stages of the advice process including highlighting good and poor practice. Areas covered include:

• Adviser charging and services disclosure
• Risk profiling and other financial planning tools
• Research and due diligence
• Suitability
• Suitability reports

The session will also cover topical issues such as defined benefit transfers and adviser charging approaches.

For each session, Rory Percival will provide an introduction to FCA concerns and expectations and this will be followed by a question and answer session and wider discussion.