Now that the FCA’s plans for the new Consumer Duty have started to sink in, firms are now getting to grips with what they need to accomplish by July 31st. However, whilst there is a lot of discussion about the new principle for business, cross-cutting rules and new conduct rules, there appears to be very little discussion at this stage about the over-arching role of “employee competence.” Would your organisation be confident to hand over their Training & Competence records to the regulator? If asked, could your firm demonstrate the gap analysis and subsequent development plans for each new starter you’ve onboarded in the last few years? Would being asked to demonstrate “role relevant” training on conduct rules to staff make you start to feel a little uncomfortable? Regardless of whether you might answer Yes/No/Don’t know to any one of those questions, we think your input and perspective would add value to our debate on the topic, so, join PIMFA and the Worksmart team to discuss:   The regulators expectations The implications of the new Conduct Rule 6 What does good T&C look like under Consumer Duty? How you can evidence, measure, and monitor the competence of the staff to deliver defined customer outcomes How firms can your approach to T&C support Culture change in your firm How RegTech can improve your approach to T&C

  There are lots of regulatory publications to keep on top of. Enforcement notices and Dear CEO letters often contain rich insight into the thoughts and priorities of Regulators. At a minimum, they require consideration and assessment as to what they mean for you. Indeed, it is common in Final Notices for reference to made to previous regulatory soundings, that meant the firm should have been on notice to the particular concerns. And so, these publications almost become pseudo-rules in their own right. However, with the volume and length of these documents, demonstrating your reasonable steps is not easy. In this FREE 60-minute webinar, the team at Avyse Partners cut through the noise, highlighting for you the essential regulatory requirements, themes and messages you might have missed from recent announcements. This webinar will: Make sense of recent FCA Enforcement notices and Dear CEO letters Extract for you the most salient points from the regulator's most recent documents & speeches Make your life easier by tackling forthcoming regulatory headwinds using Avyse FREE gap analyse tool Support you avoid committing the same regulatory breaches and failings as your peers