Regulation  

CPD: Insistent clients

    CPD
    Approx.30min
    CPD: Insistent clients

    FTAdviser On Air featured discussions about how to handle insistent clients.

    The video focused on whether you should “just say no” to insistent clients or whether you can confidently carry out a transaction you would not recommend.

    Our expert panel comprised Mike O’Brien, managing director of TenetConnect and TenetSelect; Robin Ellison, head of strategic development for pensions at Pinsent Masons; and Keith Richards, chief executive of the Personal Finance Society.

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    To earn CPD simply watch the video and answer the questions below.

    CPD
    Approx.30min

    Please answer the six multiple choice questions below in order to bank your CPD. Multiple attempts are available until all questions are correctly answered.

    1. In Aviva’s poll, how many advisers said they were reluctant to advise insistent clients?

    2. What percentage of advisers would even consider facilitating a transfer, according to the PFS?

    3. In the FCA’s analysis, how many providers refused to transact transfer requests without clients seeking advice?

    4. Section 47 of the Pensions Schemes Act 2015 requires trustees check a member has received appropriate independent advice before allowing a conversion or transfer of safeguarded benefits?

    5. Step two of the FCA’s three-step process says:

    6. What word does Caroline Mitchell use to describe the Financial Ombudsman Service?

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