Professional Adviser Working Lunches in partnership with SimplyBiz Group


Better understanding regulation and technology to build a strong and sustainable advice firm in association with SimplyBiz  

20th August | 13:00 - 14:00 | Online


This interactive session will delve into the key areas currently affecting adviser firms, with both a high-level exploration of the biggest issues in regulation and technology and a discussion of what firms can do practically to strengthen their business, and ensure sustainability.

Our partners for this Working Lunch are SimplyBiz. Managing Director, Investment Services, Dan Russell and Director of Compliance Services, Mark Greenwood will discuss and offer expert opinion and guidance on the following:

  • Regulatory spotlight: A deep dive into the areas upon which the regulator is currently focussing, and things which advisers need consider as a result, including; SM&CR and the Directory, vulnerable clients, suitability and DB pensions.
  • How to run a robust advisory business: Building upon these key drivers from the regulator, we move into an exploration of how tech, processes and efficiencies can help you to meet them in a sustainable and repeatable manner.
  • Over to you…: To close the session, we look at how all of this can be applied to your business in practical terms, and our specialist panel will take any of your questions about everything from regulation to strengthening your business operations.


SCOTLAND ONLY - Building a strong and sustainable advice firm through better understanding of regulation and technology in association with Compliance First

27th August | 13:00 - 14:00 | Online

This interactive session will delve into the key areas currently affecting Scottish adviser firms, with both a high-level exploration of the biggest issues in regulation and technology and a discussion of what firms can do practically to strengthen their business, and ensure sustainability.

Our partners for this Working Lunch are Compliance First. Managing Director, Janis Laing, Director of Compliance Policy, Richard Nuttall and Managing Director, Investment Services, Dan Russell will discuss and offer expert guidance on the following:

  • Regulatory spotlight: A deep dive into the areas upon which the regulator is currently focussing, and things which advisers need consider as a result, including; SM&CR and the Directory, vulnerable clients, suitability and DB pensions.
  • How to run a robust advisory business: Building upon these key drivers from the regulator, we move into an exploration of how tech, processes and efficiencies can help you to meet them in a sustainable and repeatable manner.
  • Over to you…: To close the session, we look at how all of this can be applied to your business in practical terms, and our specialist panel will take any of your questions about everything from regulation to strengthening your business operations.

Speakers

Director
SimplyBiz Investment Services
Managing Director
Compliance First
Director of Compliance Services
The SimplyBiz Group
Director of Compliance Policy
The SimplyBiz Group