Conference sponsor

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g The Paraplanner Conference and Exhibition 2016

Getting Better Never StopsHosted by the CISI Paraplanner

Professional Interest GroupThursday 26 May 2016

Chesford Grange Hotel, Kenilworth, near Warwick

Up to 10 CPD hours

#paraconfcisi.org/paraconf

You’re invited to join our new Interest Group for Paraplannersü CISI members with all levels of experience and seniority are welcome

ü Non-members with a keen interest in paraplanning are also welcome

ü Join us for topical presentations and discussions hosted by leading industry specialists

ü Free to join, meetings are held quarterly and programmes are designed to meet the specific needs of the paraplanning community

ü Enjoy the opportunity to share ideas and discuss relevant issues with peers over a networking lunch

ü Events count towards your annual CPD target, as attendance hours are automatically logged if you use the CISI CPD Scheme

If you would like to join the Paraplanner Interest Group mailing list and to be notified about upcoming events please contact ppig@cisi.org or call +44 20 7645 0652

cisi.org/ppig

Dear Colleagues

It is my pleasure as the Chartered Institute for Securities & Investment’s new Head of Financial Planning, to welcome you to the Paraplanner Conference here in Warwick.

This year’s programme has been packed full of technical and soft skill based sessions to ensure you are provided with the latest tools and techniques to keep progressing in your careers. As we know from this year’s conference theme – getting better never stops!

Thank you for giving up your time to attend, and I hope the conference meets your expectations and more. I would also like to thank our lead sponsor, IRESS, who have kindly supported our efforts this year. In addition, I would like to thank Octopus Investments who sponsored yesterday’s workshop, and also ETF Securities who sponsored yesterday’s dinner.

In addition to the conference programme, we have a number of supporters who have kindly come to exhibit various products and services to you, so please do take some time during the breaks to go to the stands and hear from them.

My colleagues within the CISI will be working hard to ensure the conference runs smoothly, so please do not hesitate to speak to them should you have any questions or queries. My colleague, Jacquie Lockie, and I will also be here throughout the day, and we look forward to speaking to as many of you as possible.

Thank you again, and enjoy the day!

Message from Campbell John Edgar MCSI

Head of Financial Planning, CISI

Welcome to the sixth annual Paraplanner Conference

Alex Xavier, Assistant Director, Member Services

Marcia Dodd, Events Executive

Francisca Manzoeto,

Events Executive

Adam Lipman, Marketing Executive

Your team for the day

We are thrilled to be lead sponsors of this year’s Paraplanner Conference and look forward to sharing the next couple of days with you.

We’ve been supporting paraplanners in their role for nearly 15 years with our industry renowned system, Adviser Office, and now also with XPLAN, our multi-channel financial planning solution. In that time, we’ve seen a remarkable shift in the way advice is provided and in the supporting role of the paraplanner. Technology has been a key driver, leading both client expectations and the capability of advice firms to deliver great service.

Someone who has witnessed and continuously engaged with paraplanners during this evolution is Colin Sloss, our Senior Business Development Manager.

Colin will be presenting ‘technology trends in the paraplanning process’ on day two of the conference, where he’ll walk through the latest tech advancements available to paraplanners, and take a look at what the future looks like.

We hope that everyone gets the most out of the event, not only from the excellent range of expert speakers, but also from the opportunity to network and share experiences with the rest of the paraplanning community. We certainly look forward to meeting you all and continuing to learn from your ongoing successes and challenges.

Message from the Conference Sponsor

Wireless InternetSelect wifi network ’guestinternetwpa2’ and use password ‘internet’.

Have a question?When the speaker opens up the floor to questions, please wait for the microphone to be brought to you and then introduce yourself by name and organisation.

Join in the discussion on TwitterShare your views and photos using our dedicated conference hashtag #paraconf

Alternatively, feel free to tweet the co-chairpersons @DanAtkinsonUK and @FreddieFarida

Conference Programme

08:20 Coffee and registration

08:50 Welcome remarks from the CISI

08:55 Welcome remarks from the co-chairpersons

Farida Hassanali CFPTM APP Chartered MCSI, Paraplanner, UBS and Chair of the Paraplanner Interest Group, CISI

Dan Atkinson APP ACSI, Senior Technical Consultant, EQ Wealth and IFP Paraplanner of the Year, 2014

09:00 SESSION 1: Getting better never stops

Adam Wareing CFPTM APP Chartered MCSI, Head of Paraplanning at Clarion Wealth Planning and IFP Paraplanner of the Year 2015

09:10 SESSION 2: Influencing with impact – leadership and teamwork lessons from the front line

Bob Fraser MBE, Former Lieutenant Colonel, British Army and Former Senior Client Partner, Towry

As paraplanners, you are required to collaborate with advisors and convince them, as well as their clients, to buy into your product selections, and influence with impact in high pressure scenarios. In this unique address the speaker, a former Lieutenant Colonel in the British Army turned financial planner, will discuss how paraplanners can influence with impact and work with advisors, and what methods will work in high pressure environments – drawing on his experience from both careers.

09:45 SESSION 3: Technology trends in the paraplanning process

Colin Sloss, Senior Business Development Manager, IRESS Technology can play a key role in providing efficiency gains

for paraplanners when managing large workloads for advisors with multiple clients. Current and emerging technology such as cloud based solutions, mobile technology and advancements in automation can provide increased control, consistency and transparency in the advice process. In this session the speaker, a leading technology expert, will explore the range of technology available to paraplanners, addressing their benefits as well as their limitations.

Room

Grange

Kenilworth 2 & 3

Kenilworth 2 & 3

Kenilworth 2 & 3

Kenilworth 2 & 3

Kenilworth 2 & 3

10:15 SESSION 4: The investment outlook and implications for paraplanners

Justin Urquhart Stewart ACSI, Co-Founder and Head of Corporate Development, Seven Investment Management

When it comes to researching and recommending financial products to clients, a thorough and up to date understanding of the investment environment is of vital importance to paraplanners. Complexities across asset classes, market movements, inflation, interest rate changes as well as financial and non-financial risk at the macro level need to be analysed and considered when offering advice, and this session will provide the latest updates across all of these areas.

10:50 Coffee break

11:10 SESSION 5: Research and due diligence in the advice process

Christopher Hewitt, Lead Associate, Financial Conduct Authority Following the Financial Conduct Authority’s thematic review of

research and due diligence of products and platforms, this session will focus on their key findings with a specific focus on good and poor practice examples. The session will provide insights into how you can review your own approach to research and due diligence.

11:50 SESSION 6: Championing ethical behaviour

Rebecca Doodson, Manager, Ethics and Integrity, CISI Being ethical, honest and providing services with integrity is of vital

importance to ensure the paraplanning profession maintains the confidence of its clients, as well as to provide an example to the wider financial services community. The speaker will outline what constitutes ethical behaviour, what the key risks are to paraplanners and how best to overcome them.

12:15 Lunch

Room

Kenilworth 2 & 3

Grange

Kenilworth 2 & 3

Kenilworth 2 & 3

Grange

CFPTM, CERTIFIED FINANCIAL PLANNERTM and the CFP Logo are certification marks owned outside the U.S. by Financial Planning Standards Board Ltd. Chartered Institute for Securities & Investment is the marks licensing authority for the CFPTM marks in the United Kingdom, through agreement with FPSB.

SESSION 7

13:00 – 14:00

14:00

SESSION 8

14:10 – 15:10

15:10

SESSION 9

15.30 – 16:30

16:30

STREAM A – PERSONAL AND

TECHNICAL SKILLS

[Hamlet]

Advanced Excel skills

Judith Rowe, Solutions Support

Manager, AXA Wealth

Stream change

Developing a career path in paraplanning

Nick Grogan CFPTM Chartered MCSI,

Paraplanner, PWS Financial Consulting

Alex Lannin, Technical Services Manager,

Francis Clark Financial Planning

Coffee break and stream change

Workflow

management strategiesColin Sloss,

Senior Business Development

Manager, IRESS

Move to plenary room for closing

keynote

STREAM B – INVESTMENTS & FINANCIAL MODELLING

[Othello]

Tax efficient investmentsIan Robson,

Senior Business Development

Manager, TIME Investments

Stream change

Cash flow modelling techniques

Andrew Moore, Director, Goodmans Financial Planning

Coffee break and stream change

Understanding company accounts and ratio analysis –

advice for small firms Robert Stevenson CFPTM Chartered MCSI, Director, SRG Financial Management

Move to plenary room for closing

keynote

STREAM C – RISK, TAX

& PENSIONS

[Kenilworth 1]

Understanding and communicating risk

to your clients Nick Grogan CFPTM

Chartered MCSI, Paraplanner, PWS

Financial Consulting

Stream change

New developments in inheritance tax

Nick Maidment, Strategic

Partnerships Business Development

Manager, Octopus Investments

Anna Pollins, Strategic Partnerships

Manager, Octopus Investments

Coffee break and stream change

The evolving

pensions regulatory landscape

Fiona Tait, Business Development

Manager, Royal London Group and Vice President, The

Insurance Society of Edinburgh

Move to plenary room for closing

keynote

16:35 SESSION 10: Learning from your mistakes - the case of Ratners Group

Gerald Ratner, Former Chief Executive, Ratners Group Getting better never stops, and learning from the mistakes you

make will help drive continuous self-improvement along the way. However, what if you made a mistake so bad, it resulted in the financial and reputational downfall of your company? Gerald Ratner, formerly chief executive of the Ratners Group knows all too well how this feels, but more importantly, how to learn from mistakes, improve and eventually get back on track. In this entertaining closing keynote address, Gerald will provide key lessons for paraplanners based on his own life experience.

16.55 Closing remarks from the co-chairpersons

Farida Hassanali CFPTM APP Chartered MCSI, Paraplanner, UBS and Chair of the Paraplanner Interest Group, CISI

Dan Atkinson APP ACSI, Senior Technical Consultant, EQ Wealth and IFP Paraplanner of the Year, 2014

Room

Kenilworth 2 & 3

Kenilworth 2 & 3

enquiries@iress.co.uk · 0345 068 1000

#wemakeithappen

@iressUK IRESS TVIRESS UKiress.com

“XPLAN enhances the client experience and improves our efficiency, helping us to put

clients �rst.”

MANAGING DIRECTOR, RUSSELL ULYATT GROUP

DISCOVER XPLAN. ASK FOR A DEMO.

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IRESS_A5_Advert_090516.pdf 1 16/05/2016 10:40:37

Dan Atkinson APP ACSI, 2014 Paraplanner of the Year and Senior Technical Consultant, EQ Wealth

A paraplanner at EQ Investors since August 2010, Dan’s Music

Technology degree helps him to approach financial planning problems creatively. Dan recently became a CISI Accredited Paraplanner and is also working towards Chartered Financial Planner status. In 2014 Dan was awarded the IFP’s Paraplanner of the Year 2014 and is keen to contribute to the development of the paraplanning profession. To this end, Dan is involved in the CISI Paraplanner Interest Group, the PFS Paraplanner Practitioner Panel and the Paraplanner PowWows. Dan is also involved in youth work at his local Church in Hatfield together with his wife, Hannah.

Sue Calthorpe, Report Writing Consultant, The Clive Davis Partnership

Susan worked as a regional and national newspaper journalist prior to setting up a full-service

communications company, now established for 25 years. Susan works with a wide number of public and private sector organisations to help improve writing skills and wider communications, with a range of training including production of communications strategies, face-to-face briefing, communicating complex information, presentation, media handling and key messaging and a variety of advanced writing and verbal presentation techniques. Her recent clients include Aston Martin, Fujifilm, BP, LA Fitness, G4S, Hanover, Norfolk County Council, and many more. She has also worked with many government departments and has recently undertaken particular projects with the Home Office and HMRC.

Rebecca Doodson, Manager, Ethics and Integrity, CISI

Rebecca oversees the delivery of the Institute’s Integrity initiatives to members and supporter firms. Previously,

Rebecca worked at the Association of Accounting Technicians (AAT) as Senior Conduct and Compliance Officer. Rebecca is a graduate of the University of York (BA Hons, History, 2008) and the University of the Arts London (PG Dip, Conservation, 2010). She is currently studying towards a Masters degree in Applied and Professional Ethics at the University of Leeds.

Bob Fraser MBE, Former Lieutenant Colonel, British Army and Former Senior Client Partner, Towry

Bob Fraser retired from the Army in 1998 as a Lieutenant Colonel,

studied for an MBA, and then joined financial services. He became FSFA (FPFS) in 2004, and in 2005 gained the CFPTM certification, became a full member of STEP, and one of first 100 Chartered Financial Planners. He retired from Towry as a senior client partner at the start of 2015. He now does voluntary work, and last year spent three months with Samaritan’s Purse in South Sudan.

Nick Grogan CFP™ Chartered MCSI, Paraplanner, PWS Financial Consulting

Nick is currently a paraplanner with PWS Financial Consulting. Nick provides specialist advice

and reporting, working very closely with the financial advisory team and is an integral part of the future development of PWSI. A paraplanner since 2010, Nick enjoys the challenge that each client file can present. Every client is different and the challenge of producing a financial plan that takes into account their individual circumstances and objectives is something he relishes. He possesses a diploma and also a degree in financial services from Manchester Metropolitan University.

Farida Hassanali CFP™ APP Chartered MCSI, Chair of the CISI’s Paraplanner Professional Interest Group and Paraplanner, UBS

Farida is a Chartered Financial Planner and CFPTM professional. She became involved with the former IFP upon joining the profession over eight years ago and is currently a paraplanner at UBS in London. Farida is committed to raising the awareness of the financial planning profession and paraplanning in particular.

Chris Hewitt, Lead Associate, Financial Conduct Authority

Chris worked in the financial advice sector for six years before joining the regulator in 2010. He holds the Diploma in Financial

Planning and is working towards the Advanced Diploma. Whilst working for the regulator, Chris has been involved in several high profile thematic reviews including; risk profiling, centralised investment propositions, mystery shopping of investment advice in banks, RDR adviser charges and services and research & due diligence.

Alex Lannin, Technical Services Manager, Francis Clark Financial Planning

Alex is responsible for Technical Services at Francis Clark Financial Planning including

research, technology systems, the website and social media. Alex is 34 and has worked in the financial services industry since graduating from Oxford Brookes University in 2002, he gained the Diploma qualification in 2012. Alex has a high level of technical knowledge as well as being known for the odd pun or two. Outside of work Alex is dedicated to his wife and two young daughters. When he gets the time Alex is a keen runner, loves a good book and is also an avid fan of Formula 1.

Nick Maidment, Strategic Partnerships Business Development Manager, Octopus Investments

Nick joined Octopus in January 2016 as Strategic Partnerships

Manager, New Distribution, covering national accounts. Nick has over 10 years’ experience in financial services and joined Octopus from Deutsche Asset & Wealth Management, where since 2007 he held various roles within the firm’s Business Development function, working with DFMs, research analysts and retail platforms. Prior to that he spent two years at UBS as a Credit Derivative Analyst. As a parent, spare time is rather limited, but Nick has a keen interest in rugby and football.

Andrew Moore, Director, Goodmans Financial Planning

Andrew is a Director of Goodmans Financial Planning and has worked within financial services for the past 10 years

looking after businesses, business owners and personal clients. He specialises in retirement and investment planning for clients across Devon and Cornwall, and gets involved with the more complex areas of advice such as estate planning and SIPP property purchases. Andrew is based in Goodmans Plymouth office. He has a Diploma in Financial Planning from the Chartered Insurance Institute.

Anna Pollins, Strategic Partnership Manager, Octopus Investments

Anna is a Strategic Partnerships Manager at Octopus. Her main role is focussed on building long

term distribution relationships with financial adviser networks, national accounts, service providers and affinity groups. Anna has over 12 years’ experience in financial services. Prior to Octopus, Anna spent nine years at Raymond James Investment Services, working with DFMs and financial advisers in relationship management, platform and business development roles. Anna holds the IMC, IAQ, J02 Trusts, and has a BA Hons in English and Philosophy from the University of Nottingham.

Gerald Ratner, Former Chief Executive, Ratners Group

Gerald Ratner is a British household name. He took over his family’s jewellery business in 1984 which had at that time 130

stores. By 1990 it had 2,500 stores, 25,000 employees, annual sales of 1.2 billion and profits of 121 million. Unfortunately he went down in history (he was then Chairman-Chief Executive of Ratners Group, the world’s largest jewellery retail company which included H Samuel and Ernest Jones), when at a corporate speaking engagement in 1991 at the Albert Hall for the Institute of Directors, he described a sherry decanter (one of their products), in an unfavourable light. Gerald Ratner is very much in demand as a business speaker and has also built an American business from scratch, to over 1,000 shops in the USA becoming one of the few UK retailers to succeed on the other side of the Atlantic. He now runs the UK’s largest online jewellery business Gerald Online.

Ian Robson, Senior Business Development Manager, TIME Investments

Ian joined TIME in March 2014, having previously been at Octopus Investments for six

years. Ian graduated from Lancaster University with a BA Honours Degree in Accounting & Finance and has over 25 years’ experience in financial services. Outside of work, Ian’s passions include travel and most sports, but he particularly enjoys cycling and tennis which enable him to indulge his love of food and the occasional glass of wine.

Judith Rowe, Solutions Support Manager, AXA Wealth

Judith has been working with Excel for over 20 years and takes the mystery out of what can sound quite complicated.

From starting initially in the travel industry after university, Judith moved into teaching, specialising in IT applications and then became a professional trainer. For the last ten years Judith has been working within financial services helping people use IT more effectively, whether it’s PowerPoint, Outlook, Word, Excel or systems in general. Judith has developed a particular passion for Excel and is known within AXA Wealth as the “go to” Excel expert. She shares her knowledge and enthusiasm with others through her many seminars and training events which are delivered in her own unique and engaging style.

Alan Rutter, Data Visualisation Consultant, Clever Boxer

Alan has worked as a journalist, digital consultant, product owner and trainer. He oversaw the iPad edition launches of

Wired, GQ, Vanity Fair and Vogue in the UK, and has been working with Condé Nast International as product owner on a bespoke digital asset management system for their 11 global markets. He teaches for General Assembly and runs in-house training for public sector clients with ModernGov. He previously worked with Guardian Masterclasses on curating and delivering new course strands, including the startups and business courses, and teaching their B2B data visualisation courses. Previously he was Online Editor at Time Out.

Colin Sloss, Senior Business Development Manager, IRESS

Colin Sloss – Senior Business Development Manager, Wealth has been with IRESS for over 10 years and has a wealth of

experience in financial services spanning more than 24 years, initially starting out as a practicing IFA before joining the technology sector. An expert in financial services distribution and adviser technology, Colin knows the industry inside out and works with a wide range of businesses, supporting the technology strategies of the smallest IFAs to the largest networks and nationals. He is studying towards the IMC qualification.

Robert Stevenson CFP™ Chartered MCSI, Director, SRG Financial Management

Robert is the founder and Principal Director of SRG Financial Management and

has developed the business based on an ethos of providing high quality, technically accurate advice underpinned by the highest level of professional qualifications. He is one of the most highly qualified advisors in the UK and is a recommended adviser for the Universities Superannuation Scheme, the pension scheme for all university personnel. He is one of only seven advisers in the Province and about 250 nationwide who are recommended to give advice to the Universities Pension Scheme members.

Fiona Tait, Business Development Manager, Royal London Group

A veteran of the pensions industry, Fiona has been in financial services since

1989. She currently divides her time between presenting technical seminars to advisers and their professional connections; and writing for a selection of trade press publications. Fiona has also appeared on Sky News, the Today programme and Share radio among other media.

Justin Urquhart Stewart ACSI, Co-Founder, Seven Investment Management

Having trained as a barrister, Justin took up corporate finance, working in both

Africa and Singapore. He then returned to the UK and helped in the developments towards the Big Bang in 1986 in London which led to him helping to found Broker Services in 1986. Broker Services went on to become Barclays Stockbrokers, where Justin was Corporate Development Director. In early 2001, he co-founded Seven Investment Management, an investment management business that innovated the UK investment market with the introduction of the first Sterling Investment Wrap Account. Seven Investment Management now manages and administers around £2 billion on behalf of professional financial wealth managers and intermediaries. Justin was involved in the original development of the AIM market and the investor educational company, Proshare.

Adam Wareing CFP™ APP Chartered MCSI, Head of Paraplanning, Clarion Wealth Planning

Adam is currently Head of Paraplanning at Clarion Wealth

Planning Limited. Before joining Clarion, Adam ran his own financial planning business, Your Wealth Management, based in Sale, Cheshire. Prior to this he was a self-employed financial advisor with Bury Financial Advisers. Adam began his career with the life insurance companies Aviva and Friends Provident, is a Chartered and CERTIFIED FINANCIAL PLANNERTM professional, meaning he holds the two highest levels of qualification available to financial advice professionals. Adam was awarded the prestigious Paraplanner of the Year Award by the Institute of Financial Planning in 2015.

Conference Sponsor IRESS is the leading software provider to the financial services industry, best known for its market-leading solutions including The Exchange, XPLAN, Trigold and MSO. Its systems offer front, middle and back-office functionality for clients that range from financial service institutions through to independent operators. IRESS strives for excellence in relationships with clients and industry bodies alike, working with the industry to face challenges and keep pace with developments

Dinner Sponsor ETF Securities is one of the world’s leading, independent exchange-traded product (ETP) providers and a pioneer in commodity ETPs. Our work in this asset class is complemented by a range of other investment solutions including currency and thematic equity ETPs. We are dedicated to developing liquid, transparent investment products that can be traded on world stock exchanges. Likewise, we strive to deliver best of breed products, insightful investment research and excellent client service.

Workshop SponsorOctopus is a very different type of Investment Company. Whether you’re a financial adviser, an investor looking for tax-efficient ways of investing in the UK’s smallest and most dynamic businesses, or a company seeking finance for growth, we’re here to help. By putting your needs first, by listening and really understanding what you want, we can help you do smarter things with your money. We manage nearly £5billion for over 50,000 customers. We offer straightforward products which solve problems faced by real people. We don’t believe in unnecessary complexity and only launch products when we’re confident they’ll do what we say they will.

Conference Bag Sponsor Everyone deserves a just retirement.

Just Retirement Limited are a specialist provider of financial solutions designed to help people at or in retirement make the most of their pension and property assets by providing products tailored to meet individual needs. Find out more by contacting our dedicated team.

Media Sponsor Professional Paraplanner magazine and ProfessionalParaplanner.co.uk is published in the UK by Research in Finance Limited. Research in Finance is a market intelligence, publishing and business information provider that specialises in the UK and European financial services industry.

Conference Sponsors & ExhibitorsWe’re an investment platform with a difference. We charge flat fees based on your client’s specific engagement with our platform.

Since re-platforming in early 2016 we now work on the same technology as many of the platforms you already use. This means we can pass on the potential benefits of a flat fee to your clients without you having to make any compromises to the functionality, features and service that you value and need - including one of the industry’s widest ranges of Investment Trusts and ETFs. As a result we can be incredibly cost-effective for the more affluent investors.

Aegon UK offers retirement, workplace savings and protection solutions to around 2,000,000 customers, and their investments totalled £59billion as at 31 December 2014. With a multi-channel platform, they are the only company in the UK able to service the workplace, advised and direct markets. Aegon is a leading provider of award-winning digital retirement services.

TIME provides tax efficient investment solutions and our original Inheritance Tax service boasts an impressive 20 year track record of successfully achieving Inheritance Tax savings for our investors. We’re dedicated to supporting the financial planner market; we don’t accept direct investments and we have a nationwide sales team on hand to assist financial planners in identifying solutions for their clients, dealing with technical queries and delivering one-to-one support.

Since 1931, when they launched the UK’s first unit trust, M&G have believed in offering their clients straightforward products together with clear and balanced information to help them make the right investment decisions for their clients’ needs. Currently M&G look after over 289,000 investors and have over £246 billion funds under management.

Transact is the leading independent investment wrap platform in the UK with over £21.5 billion of assets under direction in 125,000 client investment portfolios. The most recent Investment Trends and Core Data surveys in 2015 rate Transact as the best platform overall providing the highest ratings for satisfaction, functionality, product & investment range, reporting capability, adviser remuneration, service and support.

We’re Seven Investment Management – or 7IM – an investment management business that helps professional intermediaries to build their businesses. An investment house with great technology, great service and a common sense approach. We look after around £10bn of clients’ investments, as well as our own, with around 200 of our people taking care of it all.

Forthcoming financial planning events for your diary

Conferences 14 Jun & 15 Jun 2016 The Accredited Financial Planning Firms™ Conference:

Going the extra mile | London

3 Oct – 5 Oct 2016 The Financial Planning Annual Conference 2016: Stand Tall Together | Newport, Wales

CPD Events 7 Jun 2016 Brexit - a step into the unknown | Scotland

9 Jun 2016 Behavioural finance - bulls and bears, are we all sheep? | Yorkshire

9 Jun 2016 Half day event - Financial planning for long term care with IHT efficiency & Cascading wealth | Bristol and Bath

14 Jun 2016 Launch event: The great EU Referendum debate & impact on the financial services sector | Essex

15 Jun 2016 Pensions – one year on | Northern Ireland

29 Jun 2016 How VCT’s support early stage businesses & Under the bonnet of structured products | Cotswolds

11 Jul 2016 Divorce & the family business, solutions and material agreements | Yorkshire

22 Sep 2016 The client centred financial adviser | Manchester

Financial Planning CPD Workshops5 Jul 2016 Business Owners | London

13 Jul 2016 Financial Planning Day (6 Steps) | Birmingham

17 Nov 2016 Estate Planning | London

1 Dec 2016 Skills Development | London

Professional Forum Events7 Jun 2016 IFP Forum: The secret to a great succession or sale | London

6 Sep 2016 IFP Forum: Creating a transformational client experience | London

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On completion of qualifications, it is important to maintain your competence and skills. CISI membership can assist offering many CPD opportunities. CPD is not just three letters. To clients, colleagues and firms it shows a commitment to

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Qualifications for the financial planning profession Our professional qualifications for practitioners who work in financial planning have been specifically developed to provide financial services professionals with specialist knowledge and expertise to foster strong careers in all areas of financial planning.

Certificate in Paraplanning The Certificate in Paraplanning was developed in conjunction with paraplanners, financial planners and trainers to test the application of skills and the technical knowledge needed by paraplanners. If you are currently working as a paraplanner, whether in-house or outsourced, the qualification will help you by building on your existing skills and enable you to become more efficient in your job. If you are thinking of becoming a financial planner in the future, then this is an ideal step towards CFP™ certification as it covers some of the core competences tested as part of this globally recognised qualification.

The Certificate in Paraplanning is achieved by passing the following exmas:

Become an Accredited ParaplannerTM

Once you have achieved the Certificate in Paraplanning and have joined the CISI as an Associate member, you can apply to become an Accredited ParaplannerTM. Visit cisi.org/cpp for more information

Investment Advice Diploma - Financial Planning & Advice (RDR compliant - pending FCA recognition)

The new Financial Planning & Advice exam covers the key areas of financial protection, retirement planning and financial planning. It will form the first unit in the CISI Certificate in Paraplanning and the Level 6 Diploma in Financial Planning and the final, technical unit of the Level 4 Investment Advice Diploma (IAD), which has been designed to be RDR compliant and meet the needs of individuals advising on retail investment products and friendly society tax-exempt policies (FCA activities 4 and 6), pending FCA recognition.

It is also the first step in the study pathway to the globally recognised CERTIFIED FINANCIAL PLANNER™ certification.

* The workbook will be available to order in June 2016. The exam will be available to take from 31 August 2016. The Principles of Financial Planning unit may be taken instead of the Financial Planning & Advice unit up to and including 5 December 2016, when it will be discontinued.

Taxation in the UK for Individuals & Trusts

Financial Planning & Advice* +

The IAD – Financial Planning & Advice pathway will comprise three units, as follows:

Visit cisi.org/fpa for more information

Diploma in Financial PlanningIf you want the confidence of knowing you will change your clients’ lives for the better by the quality of the service you provide, this is the qualification that will help you create that difference. It’s your route to building long term relationships with clients based on trust. Get that right and clients are not only willing to pay for such a service but also to refer you to their friends and colleagues.

The Level 6 Diploma in Financial Planning is achieved by passing the following exams:

Visit cisi.org/dfp for more information

Become a CERTIFIED FINANCIAL PLANNER™ professional

You’ll need to meet the entry requirements, but CFPTM certification, the only globally recognised mark of excellence in Financial Planning, should be your goal. To get there, you’ll need to achieve the Diploma in Financial Planning. It’s much more than a degree level qualification. Yes it is challenging, however it shows you a highly effective way of doing business.

Having the qualification and meeting the requirements below mean you can use the CFP marks, which will set you apart as one of the leading Financial Planners in the UK and globally. More than 160,000 professionals worldwide hold the CFPTM mark.

Visit cisi.org/cfp for more information

* The workbook will be available to order in June 2016. The exam will be available to take from 31 August 2016.

Investment, Risk & Taxation

UK Regulation & Professional Integrity + Financial Planning &

Advice*+

Financial Plan based on a case study

Financial Planning & Advice * +

* The workbook will be available to order in June 2016. The exam will be available to take from 31 August 2016. The Principles of Financial Planning unit may be taken instead of the Financial Planning & Advice unit up to and including 5 December 2016, when it will be discontinued.

Diploma in Financial Planning=

Experience requirements

Diploma in Financial Planning

+ =+Hold MCSI or higher

membership level

CERTIFIED FINANCIAL PLANNERTM certification

Ali Ahmed, Outsourced Planning

Sarah Allen, Financial Management Bureau

Richard Allum CFP™ APP Chartered MCSI, The Paraplanners

Jack Astell, Self Chartered Financial Planners

Dan Atkinson APP ACSI, EQ Investors

Ayaz Ayaz, Aegon

Karen Beckley, Mazars Financial Planning

Jacqui Beesley, Chesterton House Financial Planning

Kim Bendall CFP™ APP Chartered MCSI, The Paraplanners

Penny Birks, Heritage Financial Advisers

Billy Brown, Just Retirement

Lucy Burton, Foinaven Asset Management

Linda Butten, Myers Davison Ginger

Martin Cannon, Bloomsbury

James Cannon, Talbot and Muir

Debbie Carter, Clearwater Financial Planning

Mitesh Chandarana APP ACSI, Wealth Matters

Craig Coates, M&G Investments

David Colledge, Adrian Smith & Partners

Mark Collins, Huntswood

Chris Coombs, Seven Investment Management

Sharon Corke APP ACSI, Inspire Wealth

Craig Dawson, Alliance Trust Savings

Imelda De Bruin CFP™ Chartered MCSI, Manse Capital

Robert Dimbleby, Harrison Beale & Owen Financial Services

Sarah Dixon-nutt, KC Dixon-Nutt

Sarah Douthwaite, Financial Management Bureau

Jane Dring Morris, Chesterton House Financial Planning

Michael Dyke CFP™ APP Chartered MCSI, Buckle, Green & Partners

Robin Dyson, Transact

Sebastian Eaton, Scrutton Bland

Simon Ellis, Just Retirement

Richard Etheridge, Prestwood, Etheridge & Russell

Louisa Evans, Penguin Wealth

Nicola Evans, Beaumont Financial Planners

Katie Evanson, R A Cowen and Partners(FS)

Charlie Ferry, Birchwood Investment Management

Emily Flynn, Fort Financial Planning

Katie Fosberry, eightfourtwo

Carol Franklin, Chesterton House Financial Planning

Bob Fraser, Towry and British Army

Nathan Fryer, Plan Works

Lee Garner, Birchwood Investment Management

John Genovese, Chesterton House Financial Planning

Claire Goodwin APP ACSI, The Paraplanners

Alan Gow APP ACSI, Argonaut Paraplanning Consultants

Katy Grainger-Allen, KT Paraplanning

Martin Green, Chadney Bulgin

Richard Green, Transact

James Grey, Baigrie Davies

Joy Griffin, Pilgrim Financial Planning

Georgia Gritton, Chamberlyns

Nicholas Grogan CFP™ Chartered MCSI, PWS Financial Consulting

Lucy Halliday, Lothbury Paraplanning Services Limited

Duncan Hannay Robertson CFP™ Chartered MCSI, Hannay Robertson

Leisl Hansen CFP™ APP Chartered MCSI, Mazars Financial Planning

Vicki Hardy CFP™ APP Chartered MCSI, Myers Davison Ginger

Delegate list

Farida Hassanali CFP™ APP Chartered MCSI, UBS

Sam Herminie, Chesterton House Financial Planning

Alex Holloran, Anthony Harding & Partners

Andrew Holmes, M&G Investments

Jane Holt, Mackenzie Financial Planning

Chris Hubbard, Aegon

Claire Hudson, Tucana Financial

Michael Hurley, Talbot and Muir

Lily Jackson, Adrian Smith & Partners

Tamnna Jethwa APP ACSI, Oddstones House

Katie Johnson, Financial Management Bureau

Matthew Jordan, Blackstone Moregate

Kathleen Keyte, Barry Fleming & Partners

Rob Kingsbury, Professional Paraplanner magazine

Ross Lacey, Seven Investment Management

Alexander Lannin, Francis Clark Financial Planning

Michelle Latham APP ACSI, Hyperion Financial Planning

Helen Lishman, Financial Management Bureau

Jacqueline Lockie CFP™ Chartered FCSI, CISI

Di Loftus, Financial Management Bureau

Nji Lorimer, Master Adviser

Rebecca Lucas CFP™ Chartered MCSI, Lime Outsourced Paraplanning

Nick Maidment, Octopus Investments

Will Maloney, Baigrie Davies

Tony Marney, Harrison Beale & Owen Financial Services

Andy Marshall, Ovation Finance

Lavinia Mcdonald, Cameron & Co Financial Planning

Christina Melling, Clarion Wealth Planning

Nicola Mitchell, Francis Clark Financial Planning

Andrew Moore, Goodmans Financial Planning

Julie Moretta, Chesterton House Financial Planning

Alex Murphy, Raymond James Investment Services

James Nadal, Financial Planner / Portfolio Publishing

Sapna Nandani, Chesterton House Financial Planning

Jim Nelson, IRESS

David Norbury, Mackenzie Financial Planning

Angela Nottingham, Financial Management Bureau

Djahane Kleber Nzouatchep, Halifax

Anne O’Brien, Kingsley Financial Planning

Thomas O›hara, Warwick Financial Solutions

Asha Patel, Bellpenny

Veena Patel CFP™ APP Chartered MCSI, Aurea Financial Planning

Claire Pimm, Bellpenny

Julie Pipe CFP™ APP Chartered MCSI, Argonaut Paraplanning Consultants

Anna Pollins, Octopus Investments

Len Quinlan, Chesterton House Financial Planning

Damon Rainsford, Hannay Robertson

Janice Ranaboldo, Lothbury Paraplanning Services

Paul Robertson, Parkgate FS

Ian Robson, TIME Investments

Beth Roles, Buckle, Green & Partners

Judith Rowe, AXA

Jenny Ryan, Baigrie Davies

Tom Sadler, Fiscal Engineers

Aleksandra Sasin, Argentis Financial Management

Stephen Seal, Aegon

Pav Sharma, ETF Securities

Rebecca Shasha, Lothbury Wealth Management

Sarah Shepherd, Financial Management Bureau

Estella Sheward APP ACSI, Lee Strathy

Laura Siddall, AYCE Planning

Gemma Siddle CFP™ APP Chartered FCSI, Eldon Financial Planning

Faye Silver, Raymond James Investment Services

Colin Sloss, IRESS

Michelle Smith, Heritage Financial Advisers

David Smith, Penguin Wealth

Damian Smyth, Alliance Trust Savings

Chris Stafford, IRESS

Robert Stevenson CFP™ Chartered MCSI, SRG Financial Management

Colin Stewart, The Paraplanners

Fiona Tait, Royal London

Jermey Tallis, Financial Planning Corporation

Krunal Thakkar, Blackstone Moregate

Tanya Thompson, Cameron & Co Financial Planning

Emma Thorpe, Hart Greaves

Dave Till, Fiscal Engineers

Lisa Tipton, Joslin Rhodes L F P

Christopher Todd, Hills Financial Planning

Rebecca Tuck, Broadway Financial Planning

Helen Tweed, Hills Financial Planning

Jeay Upton, Joslin Rhodes L F P

Tom Vennard, Penguin Wealth

Esther Walker, Wealth Matters

Kurt Walsh, Scrutton Bland Limited

Adam Wareing CFP™ APP Chartered MCSI, Clarion Wealth Planning

Paul Welsh CFP™ APP Chartered MCSI, Financial Planning Corporation

Paul Wild, PIA Wealth Managment

Vicky Wilde, R A Cowen and Partners(FS)

Liz Wright, ETF Securities

Christopher Yardley ACSI, TIME Investments

Up to date as of 18 May 2016

Enter the

Paraplanner of the Year Award 2016

Recognising exceptional performance among paraplanners

Supported by Wizard Learning

The award is designed to test a paraplanner’s core knowledge and skills, and provides a platform for paraplanners to demonstrate their all-round excellence.

Prizes include a place and accommodation at the CISI Financial Planning Annual Conference in October and access to Wizard Learning training.

The winner will be presented with their trophy at the CISI Financial Planning Annual Conference on 4 October 2016.

Bookings for the CISI Financial Planning Annual Conference 2016 are now open.

Sponsored by

Open

for entries

Closing date

17 Jun

cisi.org/fpawards

It’s not just what you know,it’s how you keep

Capital Markets | Corporate Finance | Compliance | Risk | Financial Planning | Islamic Finance | Operations | Wealth Management

IN THEKNOW

cisi.org/investinyourself

Gaining the Certificate in Paraplanning is just the beginning.

Accredited ParaplannerTM professionals know it takes more to stand out.

They’ve chosen to uphold the highest standards, develop their skills and put their clients first.

They’ve chosen membership of the CISI.