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af-exam-study

AF exam study

Based on the CII’s published AF exam study pass rates, 50 to 60% of people who sit AF exams will fail. This is a pretty depressing statistic. It’s also something that is quite avoidable. So as we watch the tennis, cricket and golf – and take in the sun – the hard tr

supervisors

Supervising financial advisers

What should supervision look like? The process of supervising financial advisers generally has three key elements: Client observations; Monitoring of key information or KPIs; and 1-2-1 meetings In this blog, I want to just focus on client observations. This ha

Supervising financial advisers

Supervising financial advisers- recording client meetings

This week, the FCA published its policy statement on the forthcoming Markets in Financial Instruments Directive II (or MiFID II) requirements. These come into force on the 3rd January 2018 and may have a profound impact on some regulated firms.  The details around what I'm

SM&CR

Financial advisers – what do your clients value most?

What do your clients value most? This is sometimes called the $60m question. Why? Because if your business is going to provide really great client-focused advice, then you need to know what it is they want. Perhaps just as importantly, you also get a clear idea about what t

AF exam

Preparing for your CII AF exam

What do you need to know to pass a CII AF exam first time? The CII AF exams deserve some respect. Let me give you two reasons why. Firstly, the pass rates for the key technical exams (AF1 through to AF4) vary between 40% and 49%. Secondly, you will be required to apply your

FCA supervisor training

Supervisor training and advice suitability

A key question for any T&C supervisor is this: do our advisers provide suitable advice to our clients?  Most supervisors would say that they do - but  if your advisers weren't providing suitable advice, how would you know? One way to do so is to observe them and do som

CII R0 exams

What is the best order to sit the CII R0 exams?

The CII R0 exams - so which exams should I sit first? This is a common question that we get from our customers.  As there isn't a 'right' or 'wrong' answer, here are some of the things you should consider.Read More

t&c

If Sir Alex Ferguson did T&C…

T&C is often a sleepy backwater in many regulated firms. It's regarded as a necessary evil when instead, it should be regarded as a way of doing things better and improving the effectiveness of the business.Read More