Percival, platforms and pizza
Speaker: Rory Percival, Chartered Financial Planner with 460 CII credits
Monday 18th November 2019
A pizza buffet will be served at 5.30pm for a 6pm start.
Where: Pizza Express, 32 Earl St, Maidstone ME14 1PF
An informal session on the subject of suitability and the FCA’s continued focus on this topic including recent clarifications in PROD and MiFID II. Rory has spent more than a decade trying to knock down a ‘wall of myths’ about what the regulator requires. Poor compliance and ‘over-compliance’ remain prevalent. Having heard plenty about DB transfers recently, one area that deserves some focus is switching in general and between platforms in particular.
By the end of this session delegates will be able to:
- Outline the regulatory framework for switching
- Identify the issues pertinent to suitability
- Describe a process for platform selection
- Understand the relationship between PROD and MiFID II
Rory Percival has spent two decades in the financial advice profession including ten years at the regulator. During that time he became increasingly influential in the way the FCA thought about and supervised advisers. Prior to joining the regulator, he held compliance, training and technical support roles at financial advice firms. Rory is a Chartered Financial Planner with 460 CII credits.
This demonstrates the quality of an event and that it meets CII member CPD scheme requirements.
1 hour's CPD can be claimed for this event if relevant to your learning and development needs.
It is recommended that you keep any evidence of the CPD activity you have completed and upload copies to the recording tool as the CII may ask to see this if your record is selected for review. Details of the scheme can be viewed online at www.cii.co.uk/cpd.