Legal and financial services for vulnerable clients
Posted on Oct 02, 2019
Why should I embrace the ups and downs of stock markets?
- Oct 21, 2019
Top three tips for… deposit savings
- Oct 15, 2019
Is care leaving you confused?
- Oct 10, 2019
There is a growing regulatory focus on service provision to vulnerable clients across a wide range of industries, from communications and energy to legal and financial services, and we understand that financial services can improve the accessibility of services to clients who can often struggle to comprehend the solutions they are paying for. This is a key theme for the Solicitors Regulation Authority (SRA) and the Financial Conduct Authority (FCA) as they focus more sharply on an ageing population and vulnerability in general.
This presentation covers factors to consider for law firms making referrals to financial services providers on behalf of vulnerable clients, from the changing regulatory backdrop to managing a due diligence process for financial services referrals.
We are delighted that David Mulholland from Brooks Macdonald will present on this subject. He has over 20 years’ experience in the financial services market working alongside IFAs and lawyers to promote the best routes to advice for vulnerable clients.
The event is taking place at The Spa Hotel in Tunbridge Wells on Tuesday 5 November (from 9.00am to 11.30am).
Please do get in touch with us on tel: 01892 500600 by 11 October to book your place and feel free to share the invitation with colleagues.