Online courses

Suitability


Description
This course is designed to provide learners with practical training to implement suitability processes across a firm to establish this as the default output. It delivers wider knowledge of current and forthcoming suitability guidance, and covers putting in place a Centralised Investment Proposition and Platform Due Diligence, as well as ongoing reviews to ensure suitability is maintained.

Modules:
- Defining Suitability
- Demonstrating Suitability
- Documenting Suitability
- Delivering Suitability

What you’ll learn
- The background and current context of suitability
- Why the FCA is focusing on suitability sector wide
- How to ensure your firm has the processes in place to demonstrate suitability
- How to create a robust file and how files are checked
- The importance of your company’s culture when it comes to suitability

Suitable for:
This course is suitable for all individuals within a financial services firm.
This courses covers the importance of embedding processes at all elements of the business, from before even meeting a client (through creating centralised propositions), to clearly documenting advice and creating compliant files, to undertaking thorough training to ensure the concept of suitability is fully understood by, and embedded in, every single individual in the firm.

This will help to ensure that everyone is focused on the right outcomes for client, in all departments, and is the best way to demonstrate a company wide dedication to suitability.

Completion requirements
The whole course requires completing, along with the end of course assessment. This has a minimum pass mark of 65% to be achieved in order to successfully pass the course. Upon completion of this course, you will be recognised as having completed The Art Suitability training course, from The Art of Finance.

Certification
In addition, all of our content has been CPD Certified, meaning that all your time and investment is nationally recognised. Upon completion of your course, you’ll be sent your Art of Finance kitemark and CPD certificate to acknowledge your successful skills training and evidence for your firm’s compliance.


20% VAT is included in the price of this course.
Content
  • The Art of Suitability
Completion rules
  • All units must be completed