Revisiting risk

Beginner

Financial planning

Self certified

Video

Date:

Monday 30th October 2017

Location:

Duration

1 HRS 2 MINS

A deep dive on risk profiling

Learning objectives

In this session we covered…

The concerns about risk profiling that the FCA have flagged twice this year. What are firms still getting wrong?
What are the main findings from Rory’s recent research paper into risk profiling tools

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.