The Millenium’s move from regulating how financial services are sold to considering the broader customer experience has led to the development in different parts of the world of the notion of Treating Customers Fairly and other similar ideas. The purpose of this is to move the focus from the financial firm to the customer. This has been reflected in a vast UK literature and the adoption of the idea in MiFID 2. The Hong Kong Monitory Authority has its own take on the subject. Many countries aim to treat customers fairly through a suite of similar regulatory initiatives without giving the term a label. This workshop explores what MiFID 2 and various other regulators, notably the UK has developed as a notion of fair customer treatment.
Who should attend:
DATE: 23 May
DURATION: 6 Hours
CPD UNITS: 6
LOCATION: EIMF Premises, Nicosia
TIME: 09:00 – 15:30
FEES: €220 + VAT
|Start Date||Course Title||Location||CPD Units||Status|
|12 Feb||Financial Product Governance and Product Development||Limassol||5||COMPLETED|
|13 Feb||Best Execution - Meeting Regulator Requirements||Limassol||5||COMPLETED|
|22 Mar||MiFID II/PRIIPs: Investor Protection, Product Governance and Promotion of Investment Products||Limassol||15||UPCOMING|
|13 Apr||CySEC Regulatory Fundamentals: Overview of the Investment Services Sector||Nicosia||5||UPCOMING|
|16 Apr||CySEC and Investment Professionals CPD Series: Financial Promotion, Handling Complaints and Treating Clients Fairly||Limassol||15||UPCOMING|
|23 Apr||Market Abuse – A comprehensive guide||Limassol||5||UPCOMING|
|14 May||Financial Product Governance and Product Development||Limassol||5||UPCOMING|
|15 May||Safeguarding Clients Assets||Limassol||5||UPCOMING|
|21 May||Product Governance Requirements, Suitability and Appropriateness||Nicosia||10||UPCOMING|
|23 May||Handling Clients Complaints||Nicosia||6||UPCOMING|
You can register by sending the completed registration form above to firstname.lastname@example.org or via fax to 2227 4475. If you need help completing the form, please give us a call at 2227 4470
If you would like to discuss bringing this or another topic to your organization on an in-house basis please call us at 22274470 or email us at email@example.com.
Adam Samuel is a lawyer qualified in the UK and the USA. For the last 21 years, Adam has run his own training and consulting business, helping out regulators in three continents on customer-facing issues. He has the qualifications required of a financial, mortgage and equity release adviser and the UK CISI compliance diploma. Adam wrote the only book on consumer financial services complaint handling in the UK and a guide to the SFC Code for Intermediaries in Hong Kong. The Gibraltar Supreme Court followed his expert evidence in van Geens v. Jyske Bank on product risk, compliance and advice standards around the world. Adam has broadcast on a number of BBC domestic and World Service programmes, including the national news on financial services compliance and banking issues.