Evidencing The Fair Treatment Of Vulnerable Customers

• Recognise the signs and signals of a vulnerable client
• Introduce the tools to encourage the disclosure of vulnerability
• Bring conversations to successful conclusions
• Implement a robust framework that prevents false claims
• Protect your vulnerable customers from further distress
• Avoid reputational damage and financial penalties

• Introduction
• What the FCA expects
• Key findings of research Inc. V.T.F
• Best practice areas

This session will be delivered by Stephen Fairclough.

With over 20 years training experience in financial services, Stephen is well placed to support you across a range of consultancy and developmental activities. He is a former Head of Education for HSBC covering the UK and Europe, responsible for regulatory and financial crime related
compliance learning, and has first-hand experience of meeting logistical deadlines complicated by volume, complexity and geography. His time at HSBC was during intense scrutiny from regulators and government functions during the bank’s Deferred Prosecution Agreement.
With other roles ranging from advising customers within a high-street retail branch, to Senior Vice President responsible for Global Risk & Compliance training at a US-based bank, Stephen’s
range of experience is adaptable to your business. He also worked in the Insurance Firms division at the Financial Conduct Authority (in the FSA days) where he was the divisional expert for the rules and outcomes required under the Training & Competence handbook. Stephen won
the Thomson Reuters award for “Most Effective Compliance Training at a Regulated Firm” in 2010.

The HSBC role, along with five years at Barclays in their Private Clients and Wealth functions, has seen Stephen work with retail, commercial, wholesale and private banking channels. While enjoying the design and delivery of training to an audience either live or virtually, Stephen can also work with your compliance, HR and operational teams to build or enhance your learning framework, ensuring appropriate systems, controls, checks and balances are in place to withstand
any robust regulatory scrutiny, as well as delivering sustainable commercial benefits to your business.

This session qualifies for 3 CPD hours and is endorsed by the CISI for CPD requirements. CISI members pay a discounted rate and can book via the link below. To receive your discount as a CISI member, please enter the discount code provided by the CISI.