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Getting Prepared for the Regulatory Visit

Friday, December 8, 2017 - 09:00
1 Day
Conducted by: 
Eureka Financial
Sam baker

This practical 1 day course conducted by a compliance expert with many years of regulatory experience is designed to prepare you to face any potential interaction with the FCA or PRA - from the initial exchange of letters to the visit itself. It can be quite a stressful experience, especially for senior management and being well prepared means that you can avoid unnecessary stress and potential fines for your organization.

By participating in this very practical one day course you will:

  • Learn what to expect from a regulatory visit and how to prepare for the best possible outcome 
  • Understand what the Regulator is focusing on and learn how to address
  • Find out what kind of questions you may be asked and how to answer
  • Identify any weaknesses within your organisation and learn how to address them 
  • Learn how to prepare yourself to demonstrate confidence and avoid unnecessary stress

Main topics covered include:

  • How the regulator operates and what do they focus on
  • How will you know the PRA/FCA are about to visit
  • Assessing potential risk and impact on your business
  • Areas of focus for the regulator during the visit
  • Best strategies to prepare for the visit
  • Senior Management preparation 
  • Post-visit requirements

Register early and take advantage of our Early Bird offers!

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