The Art of Suitability

The Art of Suitability

This course is designed for you to learn the processes you can go through to ensure your firm’s advice is consistently suitable for your clients. It will cover top tips for suitability reports, how suitability processes can be implemented, and how best to demonstrate suitability through file checks and compliance.

 

This course is designed to provide learners with practical training to implement suitability processes across a firm to establish this as the default output. It delivers wider knowledge of current and forthcoming suitability guidance, and covers putting in place a Centralised Investment Proposition and Platform Due Diligence, as well as ongoing reviews to ensure suitability is maintained.

The course content is broken down into bitesize units, with defined topics (see the next tab) for you to work through at your own pace.

What you’ll learn
  • The background and current context of suitability
  • Why the FCA is focusing on suitability sector wide
  • How to ensure your firm has the processes in place to demonstrate suitability
  • How to create a robust file and how files are checked
  • The importance of your company’s culture when it comes to suitability
This course includes
  • Access to 4 hours online content
  • Networking opportunities with the learning community
  • Support from a course tutor
  • Technical assistance
  • Overall course assessment

 

This course is defined by four units. They are:
  • Defining Suitability
  • Demonstrating Suitability
  • Documenting Suitability
  • Delivering Suitability
Download the Course Guide on the right, to read more about the learning objectives for each of the four units.

This course is suitable for all individuals within a financial services firm.

This courses covers the importance of embedding processes at all elements of the business, from before even meeting a client (through creating centralised propositions), to clearly documenting advice and creating compliant files, to undertaking thorough training to ensure the concept of suitability is fully understood by, and embedded in, every single individual in the firm.

This will help to ensure that everyone is focused on the right outcomes for client, in all departments, and is the best way to demonstrate a company wide dedication to suitability.

The price of this course is £200 + VAT.

 

Completion requirements

The whole course requires completing, along with the end of course assessment. This has a minimum pass mark of 65% to be achieved in order to successfully pass the course.

Upon completion of this course, you will be recognised as having attained the Art of Suitability training course, from The Art of Finance.

Certification

In addition, all of our content has been CPD Certified, meaning that all your time and investment is nationally recognised. Upon completion of your course, you’ll be sent your Art of Finance kitemark and CPD certificate

£200 + VAT

 

Online

 

4 hours

Half day
Part of the Verve Group

Design by Tony McBride, website by Outlines Design.