"We want firms to compare their product governance to the guidance we set out and address any areas for improvement. A lack of robustness in a firms' product development and marketing processes can increase the risk of poorly-designed products and lead to mis-selling.”
Source: Nausicaa Delfas, Head of Conduct Supervision, FINANCIAL SERVICES AUTHORITY (November 2011)
Adam Samuel has run his own compliance consultancy for the last 15 years, specialising in the retail sector. He advises, trains, fixes problems and writes material for a wide variety of clients in this area. He also resolves commercial disputes as an arbitrator. Adam originally qualified as a barrister and later as an Attorney in the US. Subsequently, he acquired an Advanced Financial Planning Certificate and a Mortgage Advisers Qualification. Adam re-drafted the Institute of Financial Planning's Disciplinary Procedures and helps the Institute deal with cases as its outside investigator. He is the author of 'Consumer Complaints and Compensation', the only UK financial services book on the subject.
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