Legal and financial services for vulnerable clients

Posted on Oct 02, 2019

Latest Posts

Archives

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.

 

 

 

 

 

 

 


Goodman Chartered Financial Planners is a trading name of Fairstone Financial Management Ltd. Fairstone Financial Management Ltd., is authorised and regulated by the Financial Conduct Authority – FRN: 475973 Registered in England and Wales no: 05574120. Part of the Fairstone Group. Where you have a complaint or dispute with us and we are unable to resolve this to your satisfaction then we are obliged to offer you the Financial Ombudsman Service to help resolve this. Please see the following link for further details: www.financial-ombudsman.org.uk.