CPD

All CPD content

Regulation

Challenges of supporting vulnerable customers through pension transfers 

  • Explain what the FCA wants from firms since consumer duty came into force
  • Explain how to identify when a client might be more vulnerable to scams
  • Understand the difference between good and poor customer outcomes
Approx.30min

In Focus: Values-based investing

What the FCA's sustainability disclosure regime means for advisers

  • Describe the FCA's new rules on sustainability disclosure and investment labels
  • Communicate who is affected by the SDR rules
  • Explain advisers' obligations under the SDR rules
Approx.30min

Mortgages

How to be a 'nosy broker' and spot the signs of fraud

  • Explain ways in which clients might try to game the system
  • Outline different problems this could cause for clients and companies
  • List ways to protect yourself and your company
Approx.30min

Vantage Point: Finding Value

Why have pension funds been selling UK equities?

  • To be able to explain how changes to the pensions market have impacted demand for UK equities
  • To understand the reasons for UK equity underperformance in recent years
  • To discover what impact regulatory changes could have on demand for UK public equities
Approx.30min

Investigation: Future of Scotland as a financial services centre

How Edinburgh's rich heritage defines modern financial services

  • To be able to explain how financial services has evolved in Edinburgh
  • To understand the history of the industry in Scotland
  • To be able to explain the consolidation of the industry in Edinburgh
Approx.30min

In Focus: Protecting the nation

Why are UK insurance companies so bad when it comes to service?

  • List the various pain points around insurers’ service levels
  • Summarise ways in which companies can help shift the dial
  • Explain how improved service leads to better financial outcomes
Approx.30min

Investments

What do we know about Labour’s vision for financial services?

  • To be able to explain how the Labour government wants to address the advice gap
  • To be able to explain what less prescriptive rules could mean for the industry
  • To be able to identify where Labour's ambitions could be in conflict with financial services firms' growth ambitions
Approx.30min

Regulation

How to respond to an FCA enforcement investigation

  • Describe some of the current challenges with FCA enforcement action
  • Summarise various steps to mitigate FCA enforcement investigations
  • Explain the role of human stories
Approx.30min

Consumer duty

Consumer duty: the path to compliance for closed products 

  • Explain the challenge with closed products
  • Descrive the importance of data
  • Identify the importance of annual board reports
Approx.30min

ESG Investing

Why the SDR will change the face of the UK’s sustainable fund market

  • Describe how the SDR compares with other regulations
  • Explain the requirements for wealth managers
  • List the criteria required to qualify for a label
Approx.30min

Pensions

Where are we going wrong with clients' pensions illustrations?

  • Describe some of the challenges with Cobs disclosure requirements
  • Explain some of the issues its approach shows
  • Identify areas the author is in agreement with
Approx.30min

Work and wellbeing

How to recognise and mitigate workplace stress

  • To be able to list ways that minorities could face stress
  • To summarise ways to reduce stress for neurodivergent staff
  • To list ways to improve employee psychological safety
Approx.30min

Regulation

Mifid II transaction reporting and what it means for your clients

  • Explain some of the Mifid 2 rules
  • Describe the issues relating to dual nationality
  • Explain how to mitigate the dual nationality issues
Approx.30min

In Focus: Consumer duty 1 year on

Assessing the impact of consumer duty and what’s next

  • Communicate the impact of consumer duty across financial services
  • Describe where firms have yet to improve under consumer duty
  • Identify unresolved issues ahead of the expansion of consumer duty
Approx.30min

Investigation: future of mortgages

Lenders call for review of decade-old regulation on high LTI lending

  • Describe the restrictions of banks' loan to income ratios
  • Explain the challenges that banks face
  • Identify factors that affect LTI policy
Approx.30min

Investigation: future of mortgages

High interest rates push mortgage stress tests above 10 per cent

  • Describe lenders' liquidity issues
  • Explain Nationwide's lending policy
  • Identify the purpose of SVR
Approx.30min

Investigation: future of mortgages

How could the lending limit be changed to support first-time buyers?

  • Explain the impact of tough LTI flow limits on the housing market
  • Identify some critics' view of raising the high LTI flow
  • Describe the impact of raising high LTI flow on the housing market
Approx.30min

Platforms

Guide to consumer duty and platforms

  • Describe the impact of the consumer duty on platforms
  • Explain how platforms can help advisers in the consumer duty
  • Identify the role of technology upgrades in platforms, and the bearing it has on consumer duty
Approx.60min

In Focus: Sustainable investing

What will the next stage of ESG investing look like?

  • To be able to list some of the challenges facing ESG investing
  • To be able to summarise potential opportunities for sustainable investing
  • To be able to explain what is needed for long-term ESG investing in the future
Approx.60min

Regulation

Guide to the consumer duty

  • Explain how firms will approve and review products and services
  • Explain the obligations of groups in the distribution chain
  • Understand how firms need to communicate to different customer groups
Approx.60min
Load more…