Join us for an enlightening webinar featuring two industry experts who will share their findings from undertaking file reviews. This webinar will provide valuable insights into the areas of Insurance/Financial Planning advice and Mortgage advice.

Our first expert, David Greenslade, Executive Director of Strategi, will discuss financial planning, investment, and personal insurance file reviews. David is a highly experienced professional with extensive qualifications and memberships in various financial organizations. He is known for his expertise in regulatory training and his involvement in the financial services industry. David will shed light on issues such as not giving balanced advice, poor assumptions, technical jargon, incorrect practices.

Our second expert, Karty Mayne from Rosewill Consulting, will focus on mortgage advice, fire and general insurance, and touch upon personal insurance as well. Karty brings a wealth of experience in risk and compliance, particularly in the financial services sector. She has worked with national and international companies to ensure compliance with regulatory requirements. Karty will address disclosure and advice issues, as well as the importance of understanding individual lender requirements.

During this webinar, you will gain valuable insights into common strengths and weaknesses identified during file reviews. Our experts will share practical examples and discuss strategies for improving compliance and enhancing the quality of advice.

Whether you are an insurance or financial planning professional, mortgage advisor, or simply interested in gaining a deeper understanding of file reviews, this webinar is for you. Don’t miss this opportunity to learn from industry experts and enhance your knowledge. Register now to secure your spot.

About Strategi:
Strategi has been providing compliance reviews for financial advisers for over 20 years. Their experienced team includes individuals with financial adviser qualifications, law, and business degrees. They offer robust, independent, and professional Compliance Assurance Reviews to help businesses comply with their FAP license obligations. Strategi’s expertise extends to AML/CFT training, advisory, and audit services as well.

About Rosewill Consulting:
Rosewill Consulting is dedicated to helping small and medium-sized entities meet their regulatory obligations. They provide simple and sustainable compliance solutions tailored to your business needs. With a team of knowledgeable consultants and access to specialized expertise, Rosewill Consulting offers a comprehensive range of services to assist with financial services obligations such as AML/CFT, CCCFA, CoFI, FMCA, and more.

Earn 1 CPD hour – Regulatory and Compliance. CPD certificates for members will be sent via email within 10 working days after the webinar. If you are not a member and would like a Certificate of Attendance, please indicate on the webinar registration page. If you’re using Ontrack by Kaplan Professional, certificates can be accessed within the platform and will not be emailed.