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Compliance Training Taking on new advisers, whether they are qualified, experienced or trainees should involve some initial training. Brokers don't always work the same way, have different sales processes and different documentation so even qualified brokers need training on the new systems in place. The FSA expect that staff have some form of induction training and then a level of monitoring in place before giving unsupervised advice. You may have advisers falling short on their compliance and want to give them refresher training on the expectations and rules for a compliant sale and file. H3 Consultancy can provide the compliance training support you need
Please contact us for a no obligation quotation and more information.
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