Case Study: CPD

In the intensely regulated world of financial services, examination success is a must, particularly for advisers and other client-facing staff.

Not only are there minimum qualification requirements imposed by the FCA on all those working as financial advisers but in this highly competitive market, there is an increasing need for individual advisers and their firms to ‘stand out from the crowd’ in order to win and retain business.

Continuing Professional Development (CPD) stands alongside formal examination success in not only evidencing an individual’s competence in their role but also a firm’s commitment to excellence that can be the differentiator to bring success.

A minimum of 35 hours of CPD per year is the FCA’s expectation but arguably should be seen as exactly that, ‘a minimum’ for those who truly want to ‘be the best’

Here’s a case study to demonstrate one particular financial services organisation’s drive to remain a leading player by ensuring that its team is the best that it can be.


After an initial scoping event with the client’s stakeholders; three separate needs were identified:

  1. To build a training programme that allowed relationship consultants to create effective and trusted external relationships
  2. To update advisers’ knowledge and understanding of pensions transfers, including the effects of the new HMRC regime introduced on 6 April 2015
  3. Prepare around 70 advisers to sit a Chartered Insurance Institute (CII) R08 Pensions Update examination.


The solutions agreed with the client were as follows:

  1. The design, development and delivery of a bespoke Relationship Management workshop which included the following key modules:
    • Managing meetings effectively
    • Developing business relationships
    • Understanding key negotiation skills
    • Understanding your value proposition
    • Using the Dimensional® Model to understand relationships
    • Working together to create collaborative strength.
  2. The design, development and delivery of a bespoke Occupational Pension Transfer workshop for a mixed cohort of learners, including specialist advisers and support staff, the aims being to:
    • Update knowledge and understanding of pension transfers, including the effects of the new HMRC regime 
 introduced on 6 April 2015
    • Analyse client circumstances and objectives in order to provide suitable advice on pension transfers
    • The evaluation of learning took the form of a multiple choice test (of knowledge), along with a written test (of understanding) which was based on specially written case studies of clients with varied characteristics and requirements.
  3. The design, development and delivery of a series of R08 revision workshops.


All three of the solutions were a great success and have led to DSW being commissioned to create two further workshops, having the working titles of ‘Money Purchase Pensions’ and ‘Trust Planning in a regulated financial environment’, to be delivered across the country.

DSW are skilled and experienced in designing and delivering CPD solutions; if you would like to have a chat to one of our specialists around CPD please contact us on 01302 760 008 or fill the form below

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About Patrick Doran

The DSW team is led by Patrick Doran who founded the company in 1999. He has managed award winning sales teams, led the learning and development function of a multi-national organisation, operated as an executive coach to Chief Executives and been a Non-Executive HR Director for a major Life Office and Investment House; being responsible for the training and development of both the regulated sales and management populations and all back office personnel - in excess of 6,000 employees.