Table Of Content

• IFP and CISI logo giant only Logos x2 #CISIconf Free WiFi 1) Select WiFi: GUESTWIFI 2) Open your web browser to complete the information on the WiFi registration landing page 3) Open your email and click on the link which will gain you access Please set phones Join in! Share photos and tablets on Ask questions #CISIconf silent Download the ‘CISI Conf’ conference app 1) Search ‘CISI Conf’ on Apple App Store or Google Play Store 2) Download the app 3) Set up your profile and your ready to go! Achieving regulatory compliance Paul Grainger CFP™ Chartered FCSI,Member, CISI Education Committee, and Chief Executive Officer, Complyport and Former Chairman, FPSB UK Achieving Regulatory Compliance Paul Grainger Chief Executive Officer Achieving Regulatory Compliance Items to cover 30 years of compliance Current compliance concerns and challenges The Senior managers regime (SMR) Compliance as quality control The importance of behaviour 9 Achieving Regulatory Compliance 30 Years on from Financial Services Act 1986 State of Compliance : Investment Advisor Firms Directly Authorised 5,263 Appointed Representetive 9,228 TOTAL 14,491 10 Source: APFA March 2016

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#CISIconf. Join in! Ask questions. Please set phones and tablets on silent . Alasdair Inglis, Managing Director, Grow – The Small Business Marketing. Experts& grease pumps, welding fume extractors and hydraulic car ramps,.

Practice Management PDF

98 Pages·2016·9.94 MB·English

by Marcia Dodd

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by Marcia Dodd| 2016| 98 pages| 9.94| English

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#CISIconf. Join in! Ask questions. Please set phones and tablets on silent . Alasdair Inglis, Managing Director, Grow – The Small Business Marketing. Experts& grease pumps, welding fume extractors and hydraulic car ramps,.

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Author:	Marcia Dodd
Publication Year:	2016
Pages:	98
Language:	English
File Size:	9.94
Format:	PDF
Price:	FREE

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