Updated: Jul 12, 2021
In our webinar on 13 October 2020, Adempi explored the FCA's evolving expectations of firms when it comes to vulnerable clients. If you missed it, a replay link is at the bottom of this post.
Gillian and Dena looked at what practical steps firms can take to get ready to prepare for regulatory scrutiny in this area given the recent guidance issued by the FCA.
With the rise in the vulnerability of retail customers in wake of the Coronavirus pandemic now, more than ever, the FCA are looking to firms to show they have appropriate mechanisms in place to identify, manage and help vulnerable customers across the entire customer journey.
This webinar is aimed at the Compliance Officers and Senior Managers within FCA regulated firms.
This webinar was part of our e-series with the Chartered Institute for Securities & Investment (CISI) the professional body for financial services professionals and you can find out more about CISI events and membership here: www.cisi.org