An interactive workshop for firms and individuals with limited experience of regulatory visit management
A poor regulatory visit can have direct impact on regulatory actions required of a firm, and on capital and liquidity guidance. It can also significantly impact the tone and intensity of the regulatory relationship, and the ability to manage issues constructively as and when they occur.
This course will repeat on: 1 February
A regulatory visit is an examination, and, like any exam, key factors are preparation, technique and practice. This course will take participants through the different stages of a visit from notification, through the information request, to the on-site visit itself, and then post visit actions. Through interactive exercises participants try out techniques and practice visit management in a training environment.
By the end of this workshop you will be able to:
- Respond effectively to visit notification
- Manage information requests
- Prepare staff for regulatory meetings
- Ensure smooth running of the on-site visit
- Manage post visit feedback and responses
Participants leave the course prepared and confident to meet the challenges of a real life visit and help their firm achieve the best possible outcome.
Who should attend?
The course is suitable for individuals / firms with limited experience of regulatory visit management. It is applicable across different types of regulatory visits and regulators in the UK.
It is of benefit for all individuals leading the management of regulatory visits or who act as regulatory coordinators for a business or function. This includes staff in Compliance, Legal, Risk, Finance, Treasury, IT, Operations, HR, Business Management and Audit.
The focus of this workshop is on practical guidance and practice of visit management techniques to equip participants to manage regulatory visits successfully. The delivery is highly interactive with role plays, exercises and video clips.
Lydia Bailey has experienced regulatory visits from all perspectives. She was a risk specialist at the Bank of England / FSA, leading over ninety regulatory visits to firms in UK, US and Asia. As BP Head of Compliance for UK and Europe, and then through her work at JPMorgan as Head of the EMEA Regulatory Management she managed over fifty regulatory visits. She now helps others prepare for regulatory visits and meetings through her company Metidian. In this workshop she shares her practical experience and insights.
Take this training in-house
If you have five or more delegates who wish to attend this briefing, it may be more cost effective to run it in-company. To find out more about in-company training, please contact the team on 0203 934 1014 or firstname.lastname@example.org