How to Ensure your Ongoing Advisory Services Meet Client Needs and Regulatory Standards
This Consumer Duty Practitioner Forum focused on ongoing advisory services and the practical steps advice firms can take to demonstrate that their services are delivering good client outcomes.
Join the Forum's chair, Michael Lawrence, and his expert guests James Hancher (Head of Proposition, Titan Wealth) and Andy Sutherland (Director, Conduct Culture Ltd) as they share their experience and practical ideas to help you build your understanding of:
- The difference between contractual service expectations and regulatory (COBS) requirements
- How to ensure you’re offering the right service to the right clients
- The importance of client engagement
- The components of effective reviews
- The role of technology
- How to measure value.
SPEAKER PROFILES
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MICHAEL LAWRENCE
Consulting Lead, Ocorian and Chair of Consumer Duty Practitioner Forum
Michael worked at the Financial Conduct Authority (FCA) for 16 years, most recently as a Technical Specialist in Consumer Investments supervision.
He joined Ocorian’s Wealth team in February 2023 to advise clients on the regulatory frameworks governing advised and non-advised pension/ investment models, product governance, as well as complaints and redress.
His vast knowledge and extensive background make him the ideal choice to lead this Forum.
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JAMES HANCHER
Head of Proposition, Titan Wealth
James is passionate about delivering an ongoing service proposition for clients that creates clarity and confidence through cashflow-led planning, suitability-first reviews, and meaningful annual planning meetings.
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ANDY SUTHERLAND
Director, Conduct Culture Ltd
Andy is Co-Owner and Director of Conduct Culture, a regulatory consultancy specialising in conduct advice to FCA solo regulated firms.
With over 30 years’ experience he has led 60+ regulatory engagements, including Skilled Person Reviews and major FCA remediation projects across various financial sectors with a focus on wealth management and financial advice.