Are you prepared for coming regulatory change?
The financial services sector is set to face a series of regulatory changes in the coming months, so are you prepared for them?
Our upcoming seminar will examine potential liabilities arising from coming regulatory change and suggest protective measures that you can take.
Our team of regulatory experts will cover:
- Personal liability: We will examine the increasing scope of personal liability for individuals within regulated firms and question how far firms should defend their employees when they are faced by regulatory action
- Product liability: MiFID II continues the trend of removing the boundaries of direct contractual liability. What can firms do to protect themselves against action from other firms and from consumers?
- Is it an alternative investment fund? We explore the pitfalls to be aware of when structuring investment vehicles
Date/Time: 28 September 2017 / 17:30 - 20:00
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Prescient is an independent financial adviser firm that offers bespoke financial planning advice.