PFS CPD Event - ESG Accord

Session Overview

We designed our compliance framework to support advice firms striving to deliver best practice financial advice - this is advice that genuinely meets ALL client preferences. This means including ESG & Sustainability preferences as part of the process. Our framework aims to reduce risk loaded assumptions and it aligns advice & research with current PROD requirements.

Our framework structure recognises that many funds already have ESG & Sustainability metrics embedded even when they are not specifically marketed as ESG or Green Funds.

With this in mind, our framework spans client preferences across ALL funds - the whole investment space - as a spectrum.

Your compliance, ESG & Sustainability, in accord.

Tea, coffee & biscuits will be served on arrival.

Learning Objectives

At the end of the session, participants will be able to:

• Understand the direction of regulatory travel for ESG and Sustainable Finance
• Understand the need to undertake an immediate PROD and Target Market review
• Understand the importance of updating existing a firm's advice process to accommodate sustainable finance preferences - asking the right questions
• Understand how to build a robust compliance process to handle client ‘Yes’ and ‘No’ response to ESG and Sustainable Finance preference questions

Lee Coates OBE - ESG Accord Co-Founder, Strategic Development Consultant

Co-Founder Ethical Investors - 31 years running dealing exclusively in ethical and responsible investment advice.
Co-founder Ethical Screening in 1998 (online database for ethical, ESG, RI funds).
Launched Australia’s first animal-friendly Superannuation fund (Cruelty Free Super) in 2010.
Awarded OBE in 2011 for ‘services to ethical business and finance’.

Elly Dowding - ESG Accord Co-Founder, Director, Consultant

CFA UK ESG Certificate & Pension Transfer Specialist.
Independent Compliance Consultant, own company, post-sale Defined Benefit file reviews.
S.166; Tax & Trust planning, Offshore Bonds, Investments and Pension Income.
Wealth Development Manager, Key national accounts for L&G in the City.
Sales Manager for L&G, team of BDMs.
L&G Pensions and Investments Consultant.
Para-planner.