• Course
    Practical Guide to Surviving a FCA/PRA visit (DGSVOL)
  • Dates
  • Venue
    Online - Webinar
  • Course Fees (excl. VAT)
    Online Single Webinar £95.00
  • CPD Credits
    2 hours - £95 per person (ex. VAT)

Total Price: £95.00

Get this course in-house
Or call 0203 178 4230
or email info@fstp.co.uk today.

Course overview

 

How will your firm withstand the regulator’s scrutiny? More importantly how will you perform personally? This webinar course will help you get prepared for the toughest of questions.

 
 
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 and SMFs  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 166s 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
  • And 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.
 
So join us for this fast-paced, highly practical two-hour executive briefing: This is a practical and interactive webinar, led by an expert in communication. Come prepared not just to listen, but question, contribute and learn.
 

Benefits

 
Attending this course will enable you to;
 
  • Be prepared for anything
  • Learn how to answer tough questions
  • Identify your weaknesses to work on post the course
  • Avoid last minute stress and feel more prepared  
  • Use your resources more efficiently and know what to research
 

Agenda

 
The PRA/FCA’s powers and approach:

 
  • What information is being requested of firms? Hot topics
  • A reminder of SMF  responsibilities and what is expected of you
 

Analysing high risk areas:

 
  • Corporate governance standards
  • Your business strategy: realistic, sustainable and clear?
  • Emphasis on risk management, not simply risk measurement
  • A brief look at over 60 (yes, sixty) conduct risks
  • Independence and objectivity of audit, compliance & risk management functions
  • Culture, ethics, and SMF fitness and competence
 

Preparing for a regulatory interview:

 
  • Clearly articulating your business and its model
  • Learn interview ‘dos and don’ts’
  • Management Information – How is it used and what is it telling you?
  • Understanding your “3 Lines of Defence”
  • Lots of real questions posed to YOU the delegates!
Get this course in-house

Or call 0203 178 4230 or email info@fstp.co.uk today.

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Meet The Tutor

Julia Kirkland
Julia Kirkland
Senior Partner
[Read about...]

Who is this course for?

This short, focused briefing has been designed for:

 
  • CEOs
  • Senior Executives (SMFs and Senior Certified Persons)
  • Executive/Non-executive Directors
  • Heads of function
"However well prepare you may think you are, it's always worth listening to informed advice on regulation"

Director
Wealth Management

Training that makes a difference

 

Packed with relevant information 


We know you’re busy, so we’re careful not to waste a minute of your time. Our training courses are fast paced, insightful and filled with valuable information.

 
Experienced engaging trainers


With first hand industry knowledge and an intimate understanding of the regulatory environment, we always guide you with an expert (and friendly) hand.
 

Get personalised attention


Our online facilities allow for you to get attention from the tutor to answer your questions and interact with other participants.

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