Association of Professional Compliance Consultants

The body for compliance consultants who advise firms regulated in the UK.

The APCC is active in enhancing the professional standards of compliance consultants and is recognised as a trade body by the FCA and other regulators. This provides our members with significant benefits in terms of direct access to the Regulators as well as business leads.  The APCC often works in conjunction with the FCA to pilot or test new initiatives, and we also provide with valuable feedback on specific subjects as requested by them.

Free vulnerability workshop for APCC members

The challenges in documenting and reporting on financial vulnerability for regulated firms

Tuesday 22nd March 2022, 11am – 11.50am

The session will be hosted by Jonathan Barrett, CEO of Comentis, our latest affiliate member and specialists in the identification of vulnerable customers. Comentis actively works with a number of other trade bodies and organisations such as the PFS, TISA, ERC and are part of the FCA Innovation Hub program, through which they have developed a vulnerability dashboard, so are well positioned to provide some excellent insight into this topic.

Speaker

Jonathan Barrett – CEO and Co-founder of Comentis.

Duration

40mins plus Q&A time

Summary

The webinar will focus on the compliance challenges faced by advice firms in consistently identifying vulnerable clients and how to accurately document vulnerabilities and outcomes.

It will cover the four stages of identification and support (Identification of risk factors, causative nexus, Interventions and Outcomes) and explore how consistency in reporting and objectivity can be achieved through technology.

Particular focus will be on the more cognitive based vulnerabilities (falling under the resilience and capability triggers identified by the FCA) and the challenges presented in identifying and recording these vulnerabilities.

Where – Once registered, you will be sent an invite to this virtual conference.

 

When –  Tuesday 22nd March 2022, 11am – 11.50am

 

BOOK YOUR PLACE HERE.