Speaker: Phil Billingham of Phil Billingham Partnership
Timing: 12 for 12.30pm – Close at 2 pm
Venue: Barnett Waddingham Offices, Port of Liverpool Building, Pier Head, L3 1BW
After attending this educational CPD event, delegates should have a clear understanding of the Code of Ethics and of the difference between ethical and unethical behaviour.
During this session, Phil Billingham will cover the important issue of ethics through case study and shared experiences.
Key points covered will include:
- Compliance is a starting point for ethical behaviour – but only a starting point
- The financial planning process is – or should be – ‘default’ ethical
- The role of Fiduciary Duty in the client relationship
- Having a structured approach to client ‘take on’ that underpins our ethical processes
- In addition to these points the session will also examine:
- Ethics – The least prescriptive and most fundamental in terms of behaviour
- Treating Customers Fairly (TCF)
- Client focussed culture
- Fiduciary duty
- FCA regulation
- Criminal law – The most prescriptive approach – but does it help most Advisers?
- Phil is a specialist in assisting Financial Advisory and Planning firms survive and thrive during periods of regulatory change. He has been an active commentator, speaker, writer, trainer and consultant in this field since 1982. During this time he has worked with organisations and regulators in the UK, USA, Ireland, Australia and South Africa, and is about to undertake work in India. He is both a Chartered Financial Planner and Certified Financial Planner.
Buffet Lunch and networking opportunity after the talk
Financial Liverpool 