This course explores the evolution of the Record of Advice (ROA) from a compliance document to the primary source of evidence used to assess fairness, suitability, and customer outcomes under COFI. Learners will discover how Ombuds, regulators, and compliance professionals evaluate advice decisions and why the quality of reasoning captured in the ROA has become more important than the process itself. 3 CPDs
- Teacher: Delia Green
Skill Level: Beginner
Points Allocated:
3
Approval Number:
FPI260615372
CPD Category: Ethics and Practice Standards