Regulatory visits are sometimes called “exams”. As such, they are a unique kind of team examination with a submission of team written work (pre-visit information) followed by a team oral exam (series of regulatory meetings). Like any exam, to be successful there is a lot of technique plus practice needed.
This free webinar gives some tips and techniques for the various stages of visit management. The webinar is a taster for the Successful Regulatory Visits workshop which “wargames” a regulatory visit from visit notification through to post visit feedback and allows participants to develop and hone their visit management technique in a realistic but safe environment.
Agenda
Acquire tips and techniques to help firms:
- Respond effectively to visit notification
- Manage information requests
- Ensure smooth running of the on-site visit
- Prepare staff for regulatory meetings
- Manage post visit feedback and responses
