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|