Keeping out of trouble 2015/16

Novotel York
Tuesday, 25 August 2015
6:00 pm – 7:00 pm

Learning objectives:

By attending this seminar you will gain an understanding of:-

  1. Understanding the biggest compliance risks to financial services risks
  2. Updating treating customers fairly or conduct risk from attracting clients to the end of the relationship
  3. Understanding how procedures and discussing them can make you safe
  4. Core conduct of business features across the financial services spectrum
  5. Learning about non-advised sales
  6. Know your product and customer attitudes to risk

Adam will lead an interactive discussion if we let him get a word in in edgeways on how financial services businesses of all types can head to calmer waters in the coming year. He will draw on over twenty years experience first of complaints and then of trying to keep people away from them and regulatory intervention.

Speaker Biography

Adam Samuel's expertise lies in three main areas:

Consumer financial services - customer facing compliance, client agreements, promotions, advice standards and complaints

International and domestic dispute resolution law and practice

Computer-related compliance and dispute resolution

Booking contact: To book this event contact Stephen Wilkinson, Secretary IIY, on or telephone 01904 631839.

There is no charge to attend this event or for the refreshments but you are invited to make a donation to The Insurance Charities on the evening to help support their work with your fellow professionals.

Feedback: You will be provided with a feedback form on the evening; please complete and return this so we can monitor our accredited CPD.

This event has been accredited by the CII and can be included as part of your CII/Personal Finance Society CPD requirement should you consider it relevant to your professional development needs.

Tea and coffee served from 5.30pm

  • Novotel York
  • Fishergate
  • York
  • YO10 4FD
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CII Accredited

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