FAP And Adviser Obligations – Webinar


The Financial Services Council (FSC) is holding a Get in Shape webinar on Friday 12 June to explore the obligations of financial advisers and FAP’s under the incoming regulatory regime.

Joining the FSC’s CEO, Richard Klipin, will be Karty Mayne of Roswell Consulting and David Greenslade, Executive Director or Strategi.

Among the areas to be discussed will be:

  • Your legal duties regarding being compliant with the legislation, regulation and code
  • What advice you can and cannot provide during the transition period without the level 5 qualification
  • What practically needs to be in place to meet the record keeping and internal complaints process standard conditions
  • The level of control a FAP will have over its financial advisers and authorised bodies on day one

Klipin says the interactive session will help viewers understand how to meet these requirements, and how to demonstrate that you meet them.

You can register for the webinar here.

The FSC has previously covered the issue of FAP licensing and that can be watched below.