Client Acceptance Procedures

Tutor: Geoff Dearing  CPD Hours: 16 hours  Duration: 3-6 months

Course Cost: £1195

This course will enable you to measure effectively and understand the key performance standards required by the business in accepting new clients and to consider any appropriate actions required to improve current performance standards.

This course which forms part of a series of courses dealing with the management of risk will help you to resolve the following typical business problems in client acceptance procedures:

• Relating regulatory issues to the practicalities of client acceptance procedures.
• Achieving consistency in approach to regulatory compliance, terms of business and the scoping of work.
• Confirming when instructions are not accepted.
• Achieving consistency in any limitation of liability.

This course on client acceptance procedures will provide you with a useful and helpful insight into the consistency of client acceptance procedures within your firm over and above issues of “know your client”.

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

• Identify the current areas of risk on client acceptance procedures.
• Achieve more consistency.
• Understand the compliance requirements to client acceptance.
• Understand the measures that will assist in achieving consistency in terms of business and retainers, the scoping of work, compliance with costs information and consideration of credit risks.
• Understanding how to implement a system of confirmation where instructions are not accepted.
• Achieve a consistency of approach to the limitation of liability.

Download an application form here