Preparing for FCA and PRA Supervisory Visits

Course Overview

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

Many executives have already experienced this increased rigour, some very publicly and there have been significant fines for firms who have not taken due consideration to mitigate the risk new regulation brings.

Surviving a regulator’s visit is now more difficult than ever. But with expert insight and smart preparation, you can make it much easier. This workshop is practical and interactive. Attendees should come prepared not just to listen, but question, contribute and learn.

Learning Objectives

Attending this course will enable participants to:

• Be prepared for what a Supervisory visit looks and feels like
• Be aware of the type of tough questions an interviewee may be asked.
• Avoid last minute stress and feel more prepared.
• Use your resources more efficiently and know what to research prior to the visit.