Directors Guide to Surviving an FCA/PRA Visit - ZISHI

Directors Guide to Surviving an FCA/PRA Visit

Join us for this fast-paced, highly practical two-hour executive briefing.

CPD:

2 CPD Hours

Directors_Guide-To_Surviving_An_FCA_PRA_Visit

Course available in-house:

Yes

Price per person (Ex. VAT): Provided on request

KEY OUTCOMES

Learn to answer tough questions

Identify your weaknesses

Avoid last minute stress 

Use your resources more efficiently

KEY BENEFITS

  • Determine how ready your firm is for a PRA/FCA visit
  • Learn what you can expect from the visit (including actual questions asked)
  • Anticipate who in your firm is most likely to be interviewed
  • Predict what client activities they may want to monitor
  • Understand current hot topics and how they’ll influence your visit
  • Be prepared for any question the regulator throws at you
  • Understand the risk of receiving a s166 order

COURSE OVERVIEW

The regulator is about to knock on your door. Your firm and your senior team will likely come under intense scrutiny. Are you prepared?

For many firms this is a very stressful time, with senior executives feeling the pressure across all sectors. That’s because the PRA and FCA have focused their attention on the leaders of financial firms.

 

Many executives have already experienced this increased rigour, some very publicly.

  • Section 166 and enforcement actions are up on last year
  • The FCA has new threshold conditions and stronger statutory powers
  • Parent companies of regulated subsidiaries now face tougher controls
  • Judgement-based supervision means it’s harder to predict regulator behaviour
  • The repercussions of compliance failures are more severe

Surviving a regulator’s visit is now more difficult than ever. But with expert insight and smart preparation, you can make it much easier.

If you have any questions about this course, please feel free to get in touch via email on info@thezishi.com or by calling +44 (0)204 551 8568 (please choose option 2).

Join us for this fast-paced, highly practical two-hour executive briefing.

CPD:

2 CPD Hours

Directors_Guide-To_Surviving_An_FCA_PRA_Visit

Course available in-house:

Yes

Price per person (Ex. VAT): Provided on request

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