This course explains the distinction between procedural and behavioural compliance and examines best practice principles that should be applied by participants in their day-to-day duties.
Activities include audit preparation workshop exercises and an explanation of the process of giving advice. How to undertake a fact find and needs analysis and the distinction between no advice, full advice and limited advice are also examined.
In the training, Compact's presenters are able to draw on extensive litigation experience where they have acted as legal counsel for insurance companies and financial services advisers.
Contact us if you have an inquiry or if you are interested in this course.