Bovill briefing | Everything under control? Governance of suitability and the investment process | London | Event date: Thursday 26 April 2018
Do you know who has ultimate responsibility for suitability in your organisation? Or how effective your controls are to prevent poor client outcomes? Do you rely heavily on file checking by Compliance? Or does your first-line take ownership?
We do a lot of work helping firms get the right personal and financial information into client files to demonstrate suitability. At this briefing, we changed the emphasis to look at how firms structure their governance and oversight arrangements to make sure everything is under control.
Based on our recent survey of Wealth Management firms, and the work we’ve done across the industry, we compared and contrasted the control frameworks used and provided tips on how to avoid the pitfalls we often see.
To find out more information about any of the topics covered or to request a copy of the slides please get in touch at email@example.com.