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?

Please note that the morning session (8am) is now fully booked. We only have remaining available spaces  for the evening session (5pm).

We do a lot of work helping firms get the right personal and financial information into client files to demonstrate suitability. In this briefing, we’ll be changing 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’ll compare and contrast the control frameworks used and provide you with some tips on how to avoid the pitfalls we often see.

If you want to see what good practice looks like or, perhaps, benchmark your monitoring activity against your peers, register below. We would be delighted if you are able to join us.

 

Programme Morning briefing Afternoon briefing
Registration and refreshments 8.00am 17:00pm
Briefing begins 8.15am 17:15pm
Q&A 9.00am 18:00pm
Session ends 9.15am 18:15pm

 

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Date
26 April 2018 (iCal | GCal)

Location
Bovill London

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Bookings

Ticket Type Spaces
Standard Ticket
AM session is currently fully booked. Only places for the PM session (5pm) are still available. To guarantee your place, please select the PM option.