Advice & Suitability

Enterprise Learning’s knowledge and experience in this field can help you develop consistency and quality in providing financial advice to both the mass market and the wealth management sector. Our broad based approach ensures that all areas of business interact effectively to produce a quality outcome for the client, the adviser and the firm.

Underpinning the advisory process are policy, procedures and guidance ensuring that all parts of the business are operating to the same standards. We work with your people to review and revise the existing standards.

We then help clients ensure that all elements of their financial advisory business are working effectively, compliantly and cost-effectively.

We help with designing and delivering training and assessment to advisers, supervisors, managers and advice reviewers to make sure that everyone understands what the advisory standards are and how to achieve them.

We look at your Training & Competence Scheme and remuneration policies to align them to the advice standards and also ensure that your processes and quality assurance controls are effective.

We can bring our award-winning combination of specialist technical, regulatory, change and financial services expertise to work with you on

• your advice framework and policy
• your processes and procedures
• your controls and management information
• your people’s capability and their management