Understand the FCA's approach to defined benefit (DB) transfers
Defined benefit transfers remains a priority area for the FCA and this is likely to continue for some time. In this session Rory covers the main concerns the FCA has, what changes are planned and suggests good practice approaches when providing advice in this area.
Learning Objectives
By attending this event, delegates will be able to:
- Understand the FCA’s expectations
- Understand the regulatory risks
- Consider good practice approaches
- Review your approach
Speaker Biography
Rory Percival, Rory Percival Training & Consultancy
Rory Percival was ‘the face of the FCA’ to advisory firms for many years. He worked at the regulator for 10 years and was involved with many high profile projects such as risk profiling, centralised investment propositions, the RDR, research and due diligence, and the assessing suitability review as well as speaking regularly at conferences. Prior to joining the regulator Rory worked in the advisory for sector for 20 years mainly in compliance and training roles. He has Chartered Financial Planner status. In November 2016 he launched his own firm – Rory Percival Training and Consultancy Ltd to help support professionalism in the advisory sector.
CII Accredited
This demonstrates the quality of an event and that it meets CII member CPD scheme requirements.
1 3/4 hours' CPD can be claimed for this event if relevant to your learning and development needs.
It is recommended that you keep any evidence of the CPD activity you have completed and upload copies to the recording tool as the CII may ask to see this if your record is selected for review. Details of the scheme can be viewed online at www.cii.co.uk/cpd.