A chat with Rory, where we talk suitability and professionalism in financial planning
Learning objectives
In this session we covered…
- DB transfers
- Evidencing suitability
- Risk profiling tools
Chat with Rory Percival
Intermediate
Financial planning
Self certified
Video
Date:
Wednesday 28th June 2017
Location:
Online
Duration
1 HRS
Speakers
Rory Percival
Regulatory expert
Rory worked for 20 years in financial advice firms, 10 years at the FCA and has now set up his own training and consultancy firm.
During his time at the FCA, he became increasingly influential in the way the regulator thought about, and supervised advisers.
He played a significant role in identifying and prioritising risks. He was responsible for putting about half of the thematic projects in the financial advice sector on the regulator's agenda.
Prior to joining the FCA, Rory worked in financial advisory firms mainly in compliance, training and technical support roles. He completed the Chartered Financial Planner exams with 460 CII credits.
