Course Code

  • IFM


  • City of London

CPD Credits

  • 6
Download PDF Get this course in-house

Or call 0203 178 4230 or email today.

Course Overview

Gain an understanding into Investment Management, Financial Planning and how financial markets operate.


Financial services is a large business sector and beginning to understand this complex arena is key to anyone new starting out in the industry.


This intensive one day course reviews the Financial Services industry and its ongoing development, taking into account the structure of the industry.

By the end of this course delegates will be able to:

  • Describe the main market participants and their role in industry.
  • Analyse the role of both the Investment Manager and Financial Planner, being able to correctly identify key client related activities within each division.
  • Explain both the Investment Manager and Financial Planners responsibilities, in accordance with FCA regulation, to ensure recommendations are suitable and relevant to the clients’ needs.
  • Describe the industry and regulatory developments which may have impact on the strategic direction of firms and the impact on their clients.

The Course Agenda

Welcome and Introduction

  • Introductions

Market Overview

  • State and size of markets
  • Main market participants and channelling monies for investment
  • Who are the investors (and classification)?

Distribution Channels

  • Distribution channels in the UK

The Wealth Management Industry

  • Aspects of Wealth Management
    • The process
    • Financial planning
    • Investment Management
  • Developments in Wealth Management over recent years and the impact on firms

Financial Advice

  • Independent vs restricted advice
  • The fact find
  • Assessing suitability
    • Attitude to risk and capacity for loss
    • The Suitability Report
  • Client reporting

Investment Management Approaches

  • Investment Management Approaches
    • Asset classes
    • Asset allocation, shifts and new trends
    • PIMFA Private Investor Indices
    • Ethical & socially responsible investment
    • CISs and the rise of ETPs
    • Wraps and Wrappers
  • Basics of behavioural economics

Regulatory Themes

  • Major regulatory themes
    • Principles for Businesses
    • TCF & Conduct risk
    • Suitability and the KYC imperative

Future Challenges

  • Impending changes and continuing need for firms to evolve
    • Senior Manager Regime
    • MiFID II
  • Financial Crime including cybercrime
Download PDF Get this course in-house

Or call 0203 178 4230 or email today.

Meet The Tutor

Jo Kirby

Senior Associate

Jo has over 20 years experience in the industry, and is a Fixed Income and Derivatives specialist. Her initial career with JP Morgan saw her quickly rise to Director of Fixed Income based in South Africa at Barclays.
For the last 8 years she has been working as a Consultant to provide technical training for financial institutions on topics such as Derivatives in Fund Management, Exchange Traded Derivatives, Over the Counter Derivatives, Swaps, Fixed Income and Liability Driven Investments.

She also delivers CISI courses to college students to develop their knowledge of the financial services industry and is the Principal moderator for CISI the schools qualification.

Who is this course for?

This is an in-house course which can be delivered to small groups such as trainees, graduates or those new to the financial services industry.

Whilst this course is targeted at those in the Wealth Management sector, it can be designed for Insurance, Banking or Institutional delegates.

Training that makes a difference

Experienced engaging trainers

With first hand industry knowledge and an intimate understanding of the regulatory environment, we always guide you with an expert (and friendly) hand.

Packed with relevant information

We know you’re busy, so we’re careful not to waste a minute of your time. Our training courses are fast paced, insightful and filled with valuable information.

Get personalised attention

Sessions are practical workshops not PowerPoint lectures. All courses are limited to no more than 14 attendees, so we’re able to explain concepts in the context of your business.

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