| 13th May 24 | Private Wealth Management | Zoom Call |
|---|---|---|
| PWM Compliance | ||
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Chairman Sarah Meakes Alder IM This meeting has been switched to a Zoom video conference call |
Discussion Topics • SDR --identifying in-scope funds --sending disclosures to clients --timeliness of disclosures --overseas statements --grandfathering of disclosures --naming & marketing rules for portfolio managers --other SDR points • FCA points --FCA information request: advance notice for consumer duty --CP24/7: payment optionality for investment research --TR24/1: retirement income advice --sanctions testing --FCA interaction --other FCA points • Other points |
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| 15th May 24 | Financial Crime | Zoom Call |
|---|---|---|
| Financial Crime (AM/IM/WM) | ||
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Chairman Jamie Spring Guest Contributor Priya Chandrasekaran General Manager Europe, Unit21 This meeting has been switched to a Zoom video conference call |
Discussion Topics "Transaction Monitoring Software - Unit21 Overview" - a discussion led by Priya Chandrasekaran, Unit21 Other Topics • Regulator activity • Crypto currencies • Current threats & scams • Recent enforcement activity • Other points |
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| 20th May 24 | Complaints Handling | Zoom Call |
|---|---|---|
| Complaints Handling | ||
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Chairman Anthea Coulter Equiniti This meeting has been switched to a Zoom video conference call |
Discussion Topics • Ease of making complaints • Third-party activity • Regulator activity --PS24/2: protections for borrowers in financial difficulty --TR24/1: retirement income advice --other regulator points • FOS points • Cost-of-living impact • Rise in fraud-related complaints • Other points |
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| 11th Jun 24 | Private Wealth Management | London |
|---|---|---|
| PWM Compliance | ||
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Howden Group's Offices, One Creechurch Lane, London EC3A 5AF (map)
4.20pm for 4.30pm to 6pm, followed by drinks |
Discussion Topics |
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| 12th Jun 24 | Financial Crime | Zoom Call |
|---|---|---|
| Financial Crime (AM/IM/WM) | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 8th Jul 24 | Private Wealth Management | Zoom Call |
|---|---|---|
| PWM Compliance | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 10th Jul 24 | Financial Crime | Zoom Call |
|---|---|---|
| Financial Crime (AM/IM/WM) | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 15th Jul 24 | Complaints Handling | Zoom Call |
|---|---|---|
| Complaints Handling | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 9th Sep 24 | Private Wealth Management | Zoom Call |
|---|---|---|
| PWM Compliance | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 11th Sep 24 | Financial Crime | Zoom Call |
|---|---|---|
| Financial Crime (AM/IM/WM) | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 16th Sep 24 | Complaints Handling | Zoom Call |
|---|---|---|
| Complaints Handling | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 7th Oct 24 | Private Wealth Management | Zoom Call |
|---|---|---|
| PWM Compliance | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 9th Oct 24 | Financial Crime | Zoom Call |
|---|---|---|
| Financial Crime (AM/IM/WM) | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 11th Nov 24 | Private Wealth Management | Zoom Call |
|---|---|---|
| PWM Compliance | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 13th Nov 24 | Financial Crime | Zoom Call |
|---|---|---|
| Financial Crime (AM/IM/WM) | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 18th Nov 24 | Complaints Handling | Zoom Call |
|---|---|---|
| Complaints Handling | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 9th Dec 24 | Private Wealth Management | Zoom Call |
|---|---|---|
| PWM Compliance | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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| 11th Dec 24 | Financial Crime | Zoom Call |
|---|---|---|
| Financial Crime (AM/IM/WM) | ||
| This meeting has been switched to a Zoom video conference call |
Discussion Topics |
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