Training & Competence

Although the FSA rules are short, they are fairly difficult for regulated firms to apply in a practical way. There is no “one size fits all” as the different regulatory sectors require their own appropriate arrangements which need to encompass:

• the complexity of the products
• the risks they pose to consumers
• the different sales channels.

Knowing what is appropriate for the market and products in which a client operates, is essential in being able to design, structure and implement an appropriate T&C Scheme that satisfies FSA requirements. We have extensive experience in this particular area having provided many different types of regulated firms with a cost effective solution to structuring and operating their T&C Scheme.

Our typical assignments include all aspects relating to a client’s T&C arrangements and can include all or some of the following:

• consultancy on the client’s existing T&C arrangements
• design and implementation of a new T&C Scheme
• provision of documentation, including job descriptions, question banks, and assessment forms
• carrying out regular one to one assessments and role plays

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