Effective FCA visits: the end to end guide from first contact to ”goodbye”

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Effective FCA visits: the end to end guide from first contact to ”goodbye”

£450 + VAT
Half day workshop

Who Is It For

Anyone involved in an FCA visit including Directors, senior staff, business managers, compliance and anyone who will come into contact with the FCA.

Overview

This half day interactive workshop covers the life-cycle of an FCA visit from information requests, through briefings, visit management, meeting techniques and regulatory interview skills to findings letter and follow up.

 

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What are we going to cover?

The prospect of taking part in or organising an FCA visit can be daunting – particularly for the vast majority of firms who only have limited direct contact with the FCA.  Whether it’s for a routine supervision visit, a visit as part of a thematic review or as part of an S.166 interaction there are smart ways of preparing for and handling the visit.  This workshop aims to provide delegates with the practical advice on how to provide information, effective meeting practices and tips from those who have been there before.  Using briefing, discussion and practical exercises delegates will gain an understanding of:
  • The different kinds of request you may face
  • How to present and organise for your business
  • How to anticipate what might be expected of you and your business
  • What your key risks might be
  • What to do about them

Who is this for?

Suitable for existing and newly authorised firms, new and experienced staff, FCA contact centre managed/Flexible firms, anyone in relationship supervised/Fixed firms who is looking for an introduction or refresher.

Who will deliver it?

Sandra Quinn

Sandra brings a unique business, compliance and regulatory experience having sat both sides of the table – both for the regulator and for firms. Highly people focused, she will bring this practical experience to the workshop.

About Us

MULTIPLE BOOKINGS AND IN HOUSE DELIVERY

Discounts are available for group bookings. If you have five or more delegates who would like to attend this workshop, it may be more cost effective to run it in-house. To find out more about group discounts and in-house delivery, please contact at info@thecompliancefoundation.co.uk.