Legal and financial services for vulnerable clients

Posted on Oct 02, 2019

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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.

 

 

 

 

 

 

 


If you wish to register a complaint, please write to complianceofficer@goodmanifa.co.uk or telephone 01892 500 600. A summary of our internal complaints handling procedures for the reasonable and prompt handling of complaints is available on request and if you cannot settle your complaint with us, you may be entitled to refer it to the Financial Ombudsman Service at www.financial-ombudsman.org.uk or by contacting them on 0800 0234 567. The Goodman Partnership LLP is registered in England and Wales (Reg No. OC391820) and is Authorised and Regulated by the Financial Conduct Authority. Registered Office: 7 Vale Avenue, Tunbridge Wells, Kent, TN1 1DJ. VAT Registration No. 202784522.