Dealing with Vulnerable Customers – one day workshop


Course Objectives

At the end of this on day workshop delegates will be able to understand why dealing with Vulnerable Customers properly is important; be able to explain the different types of vulnerability; know how to identify Vulnerable Customers and explain ways of dealing with them. They will also understand the skills required to be able to deal with potentially difficult situations. Delegates will gain knowledge of the FCA requirements and be able to explain the consequences of not having appropriate governance and controls in place.

Topics covered during the day

  • What is a Vulnerable Customer?
  • The rules and FCA focus on Vulnerable Customers
  • Why this is important and why firms need to take seriously – including a look at culture?
  • Identifying Vulnerable Customers
  • Dealing with Vulnerable Customers – and how to deal with them properly
  • A look at Behavioral Economics
  • Responsibility, Governance and Procedures
  • The importance of staff training in how to deal with Vulnerable Customers
  • Consequences of not dealing with Vulnerable Customers properly – fines, reputational damage etc.
  •  Other considerations – Third parties, appointed representatives, outsourcing, due diligence, risk management

Who should attend?

  • Managers/Supervisors/Team Leaders
  • Those working in Compliance, Risk, Complaints, Sales, Training and Operations
  • Directors and Approved Persons

When and where?

29th January 2020 (Manchester City Centre – exact location to be announced)

9.00am registration for a 9.30am start finish at 4.00pm

The Cost

£235 plus vat (lunch and refreshments provided)

For future dates on this course or to discuss holding ‘in house’, please contact or call 0161 870 6637

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