A Key Individuals (KI) is responsible for managing and overseeing the activities relating to the rendering of any financial service. KIs have an enormous responsibility to ensure that they carry out their duties with the necessary due care, skill and diligence. The activity of “managing” means to have executive control or authority and “overseeing” is the function of supervising a person/s and their work in an official capacity. A KI’s role is to ensure that the FSP has policies and procedures in place to ensure compliance with the General Code of Conduct and with the Fit and Proper requirements. Because of this, KIs should make sure that they fully understand what it means to manage and oversee an FSP and should do so with clear knowledge of the obligations and duties which they will have to carry out.
Attend and be sure that as a Key Individual, you fully understand what it means to manage and oversee an FSP.
You will learn about:
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By participating, you will:
Key Individuals and any person who is looking to take on the responsibility of a Key Individual should attend so they have a clear knowledge of the obligations and duties which they will have to carry out. Read more about Key Individual Responsibilities.
“The Key Individual Responsibilities seminar is very informative. The facilitator was very thorough and controlled the group exceptionally well. The content is enlightening, straightforward and important for all Key Individuals in the industry.”
– Graham Hewett | Graham Hewett Independent Financial Advisor
“I would like to take this opportunity to thank your team at Masthead. You certainly added value to our practice and the challenges we face as independent brokers. I personally have a clear understanding of the role I play and what is expected of me as a Key Individual in our practice.”
– Norman Ehlers | Prestige Wealth Management