Compliance First launches non-mainstream investment events

 Glasgow-based compliance and business support services company, Compliance First, has announced a series of events addressing non-mainstream investing.  These events have been devised to provide technical overviews of some of the less familiar product areas such as ETFs, structured products, absolute return investing, investment trusts and the utilisation of business property relief, as well as considering how to research these products, document and evidence an ongoing independent status.

Compliance First is delighted to be delivering these events in conjunction with Vanguard, Schroders, Standard Life, Verbatim and Octopus Investments.

Janice Laing, Business Director of Compliance First, commented:

“We know that since the implementation of the RDR, the vast majority of our client firms have made the decision to remain independent, which means it is imperative that they are knowledgeable about products across the entire market.  I know that it can sometimes be difficult for advisers to access information on more esoteric product areas and these events are part of our commitment to providing support for our clients in every area of their business, whichever operating model they have chosen.

“The FCA’s recent Thematic Review revealed that many firms who are operating as independent do not have enough knowledge to fully advise on the whole of the market, and we want to do everything we can to empower our clients to feel confident that they are fulfilling their regulatory obligations.”

These events are part of the wider SimplyBiz Group programme, which is currently delivering a series of investment events, which also include regional events covering the sunset clause which will be rolled out to the whole Group during Q4 of 2014 and Q4 2015. 

Timetable of events

To register, please contact Jill Hamilton:  [email protected]