Protection CPD Course  

Investment platforms: navigating the maze of investor protections

  • Describe the regulatory checks and balances that apply to investment platforms.
  • Explain how the government compensation scheme will cover losses.
  • Understand how the compensation applies to the different products on a platform.
CPD
Approx.30min

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While this is not a type of formal protection or compensation, it is another way advisers can add value to the process and demonstrate to clients that their investments are secure.

Martin Jones is technical team leader at AJ Bell

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CPD
Approx.30min

Please answer the six multiple choice questions below in order to bank your CPD. Multiple attempts are available until all questions are correctly answered.

  1. What do investors want reassurance about according to the author?

  2. In terms of client cash, the FCA CASS rules do not require platforms to hold cash in trust accounts with authorised UK banks.

  3. What is the Capital Requirements Directive?

  4. What is investment risk?

  5. Firms that permit more esoteric and unusual investments are required to hold larger amounts of capital in reserve under the FCA capital adequacy requirements.

  6. The SIPP trustee is what according to the author?

Nearly There…

You have successfully answered all the questions correctly, well done!

You should now know…

  • Describe the regulatory checks and balances that apply to investment platforms.
  • Explain how the government compensation scheme will cover losses.
  • Understand how the compensation applies to the different products on a platform.

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