The FSA launches an Industry Training Workshop for small IFA firms
23/08/1999
The Financial Services Authority (the FSA) will be running industry training workshops, in the Autumn, for small IFA firms regulated by PIA. The workshops are designed for individuals who have experience of dealing with compliance issues in small IFA firms that employ between two and nine advisers.
The aims of the workshop are to:
provide an understanding of the key compliance problems that the FSAs supervision staff identify during visits to small IFA firms regulated by PIA;
give practical guidance on how to address and avoid those problems; and
"demystify" PIAs Rules.
Participants will work through practical case studies with FSA supervision staff who have a wide-ranging experience of compliance issues. Much of the benefit of the workshop will come from the discussion of the case studies with other delegates and with the FSA staff.
At the end of the workshop, participants should:
have a good understanding of how to apply the PIAs conduct of business Rules in their own firm;
know how to identify and monitor the potential risk areas in a small IFA firm; and
be able to apply that knowledge to their firm.
Notes for editors
All Workshops will be held at 25 The North Colonnade, Canary Wharf, London E14 5HS. The dates for the workshops are: 23 September 1999, 20 October 1999, 17 November 1999 and 9 December 1999, and will begin at 9.30am and end at 4.30pm.
The cost of a place on the "Successful Compliance for Small IFA Firms" workshop is 170. Places can be booked by calling 020 7066 0752.