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Managing the FCA visit and avoiding escalation

Time and date: 22 August 2017 9.30 AM to 22 August 2017 4.30 PM
Location: Cordium UK offices Norfolk House, 31 St James’s Square, London, SW1Y 4JJ
Organiser: Cordium
Website: Click here

damage to your business. So how do you combat this when things go wrong?

We hope this never happens but when it does how prepared are you? This course is specifically designed to assist Senior Management to prepare for the visit and for that worst case scenario

The course includes examples of the offences that could have an impact on your business and individuals, including the potential for personal fines, prohibition or criminal proceedings.

As the saying goes, “Forewarned is forearmed” and the cardinal rule when dealing with the regulator is never to be complacent. Prevention is often better (and in this case cheaper) than cure and that is why we are offering this training course.

Course Objectives:

A sound knowledge of what the regulatory disciplinary tools are
The obligations on the firm and each individual
Determining the importance of communication with the FCA
An opportunity to help prepare for a regulatory visit and assess your current compliance arrangements
To help you avoid the unknown
Key Topic:

Reasons as to what activities bring you onto the regulatory radar
Why you have been selected
The tools available to the regulator, their meaning and impact
Preparation for the visit
The Report
Actions to take post report
The regulatory steps to disciplinary action
The Regulatory Disciplinary Committee
The Upper Tribunal
Course aimed at: Senior Management; including Directors; Non-Executive Directors; Partners; CEO’s; Compliance Officers; Internal Auditors; MLRO’s and all other senior members of staff in regulated firms.

COST £649.00
CPD 6 Points