Responding to the FCA’s Mandatory Information Request: What Advisers Need to Know

Responding to the FCA’s Mandatory Information Request: What Advisers Need to Know

The FCA’s mandatory information request, issued on 1 July, DEADLINE is a key part of its strategy to monitor consumer outcomes and as part of an adviser’s Consumer Duty regulatory obligations.

Join ebi and Mel Holman of Compliance and Training Solutions as we share practical guidance to help advisers and intermediaries respond confidently, clearly, and on time.

Learning Objectives:

• Gain an understanding of the FCA’s new mandatory information request and what are some key considerations.

• Transparency of information – the importance of information sharing across the distribution chain.

• Strengthening your business – ebi case study of how to use the information request as an opportunity to make improvements that benefit your clients.

Structured CPD Applicable. For Financial Professionals Only

John Reynolds – Consumer Duty Manager at ebi

John is a seasoned financial services professional with over 25 years of experience, specialising in regulatory change and customer-centric transformation. Most recently, he served in KPMG’s Risk & Regulation Change practice, where he led initiatives as a subject matter expert in Consumer Duty, Product Governance, and the treatment of Vulnerable Customers. John now works shoulder-to-shoulder with firms as an independent contractor, helping them navigate complex regulatory landscapes while delivering meaningful outcomes for customers and stakeholders.

Ashley Owen – Head of Business Development at ebi

Ashley Owen is Head of Business Development at ebi Portfolios. Joining in 2020, Ashley is the main point of contact for any new adviser enquiries, introducing ebi and presenting the solutions offered.

Ashley has a background in investments and wealth management, both in the Channel Islands and London, having spent time at an exclusive wealth manager advising UHNW clients with a minimum net worth of £100m, over seeing DFM operations, conducting fund due diligence and maintaining client relationships.

Ashley previously worked at AES International, covering positions of Head of Investment Strategies, helping centralise their investment proposition, and as Associate Director, coaching advisers on building their business.