Nick Bayley, Managing Director in Duff & Phelps’ Financial Services Compliance and Regulation practice is to speak at the FT Adviser’s Financial Advice Forum 2019, taking place in London. The forum brings together industry experts and policy makers to explore ways to make the pensions freedom and choice regime work for everyone.
Schedule: 9:00 a.m. – 5:30 p.m. (BST)
Nick’s session ‘Reviewing the Regulatory Landscape: Compliance Gaps and How to Remain One Step Ahead’ will:
- Recap MIFID II and how compliance efforts are working in practice,
- Distinguish the impact of PROD in complex cash flow services and general advice services to ensure compliance is always maintained, and
- Review upcoming Senior Managers Regime (SMR) rules and how advisers can implement them with the minimum of harm to their business.
