About Us

Preparing for ARROW II Visits

Course Code:	ARR1009
Dates:	On a date of your choice
Venue:	TBA
Course Fees:	Available on application
CPD Credits:	6

Also available to be run in-house. To discuss your requirements contact us on 020 3170 5779 or e-mail info@ctp.uk.com

Preparing for ARROW II Visits Course Outline

Bespoke arrangements for one to one coaching for executives are available. Please contact us to discuss the best approach for your team.

Comments from delegates

"CTP's training gave me a vital opportunity to consider the Arrow 2 process and has given me a head start in preparing for this important business event "
Countrywide

"Well planned, informative and interactive presentation"
Brit Insurance

"Excellent presentation skills by trainers - very informative content."
Jelf Group

"It goes without saying but the key to a successful ARROW visit is preparation and knowing what to expect. This course covered everything I needed to know."
Diamond Lifestyle

"Great course, very informative. The breakout sessions were particularly valuable."
Greystone Financial Services

"A very thought provoking day. Excellent preparation for any firm about to have an Arrow visit"
Compliance Director

This one-day workshop will combine a thorough review of the FSA’s approach to ARROW visits and themed visits, with highly practical advice for the compliance function who are generally responsible for preparing for visits. Gain the latest intelligence about the questions being asked by the FSA and the areas of focus for different types of firm.

Key elements of the preparation work include:

A review of the firms own approach to assessing risks
The identification of “hot spots” in the light of the FSA’s focus on risk areas
Managing the availability for interviews
Creating briefing documents
Anticipating the questions the FSA will ask
Undertaking “mock” Interviews

This is an interactive workshop where delegates will work in syndicate groups on case studies, to construct risk profiles and identify questions they would put if they were the FSA. Role plays will also assist in demonstrating how to (and how not to!) respond to questions.

Who should attend?

This is an essential event if you're involved in Compliance or Risk Management. It also provides an essential insight for any senior managers who may be interviewed as part of the ARROW visit.

How delegates will benefit

You'll:

Examine the FSA’s approach and focus in recent ARROW II visits
Identify the environmental and business risks that apply to your firm
Understand how the risk assessment framework will drive supervisors'
judgments of your firm
Consider the key steps in preparing your firm for the visit
Identify the likely “hot spots” for your firm
Understand the best way to manage a visit
Anticipate what questions the FSA will ask, and what responses the regulator will be looking for

Training Approach

This workshop uses a combination of trainer input, knowledge sharing with interactive syndicate work and case studies. Group size is kept to a maximum of 16 to facilitate sharing of experience amongst the delegates

Workshop leader: Jayne Owen

Jayne is the founding Director of Corporate Training Partnerships Ltd (CTP) which she established in 2001. CTP is a consultancy and training company which specialises in helping firms to manage change, risk and people development in the financial services sector. Jayne has over 30 years experience working in the sector specialising in the impact of regulation and practical ways of deriving business benefits from compliance. Prior to establishing CTP Jayne was a senior manager in the Ernst & Young Regulatory Practice helping major clients address compliance issues.

She is a Fellow of the Institute of Bankers, a member of the Securities Institute and an Associate of the Compliance Institute. She writes articles and is published on topics such as the role of Approved Persons, Training and Competence and TCF.

Programme Outline

Session	Content
Introduction and welcome	Introduce the group to each other and the trainer Understand the objectives and the process of the course Share their personal objectives for the event and afterwards
The Firm ARROW2 Framework	The risks that the FSA is seeking to control The impact on your risk assessment Breakdown of risk categories Syndicate exercise 1 - Risk impact, business and control risks
Identifying inherent risks	Areas of FSA concern The role of capital v risk Syndicate exercise 2 – Identifying key risk issues by category
The FSA interview with senior managers	Who is interviewed What subjects are covered Syndicate exercise 3 – Questions from the FSA
The Interview style and format	The structure of the interview Recording information Structuring responses Checking understanding Syndicate exercise 4 - Role Play interviews
Managing the visit	Review information from the identification exercise Add issues the FSA has stated they will focus upon, e.g. treating customers fairly and capital adequacy Practical operational issues Monitoring interviews and managing issues as they arise Plan for meeting this challenge

Money Back Guarantee

CTP offer a unique money back guarantee on all training courses.

We guarantee our training workshops or your money back. If you are attending a CTP event and are not satisfied by lunchtime of the first day, simply turn in your training materials and you will receive a full refund.

Attend one of our courses; then implement and use the strategies that you will learn and if you do not see measurable, tangible results in your performance then we do not deserve to keep your money - we will give you a full refund.

Also available to be run in-house. To discuss your requirements contact us on 020 3170 5779 or e-mail info@ctp.uk.com

CTP - Championing the Compliance Culture

Booking

If you are interested in booking this course, or if you have any questions, please call call us on 020 3170 5779.

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““The review of our T&C scheme carried out by CTP really tested our controls and showed us how to make the approach more efficient in a practical and business focused context.”
- Liz Cameron, Head of Direct Sales Compliance, Scottish Widows
“Very timely, excellent content, covered a lot in a short time.”
- by Nicky Christofides, Head of Compliance at GE Money
“CTP provided us with a versatile range of training services from e based testing to technical modules and skills training for our advisers and sales management. They work quickly to satisfy deadlines and think creatively to achieve sustainable results. ”
- Ian Lockhart, Sales Operations Director, Scottish Widows
“I would recommend this event on Understanding Insurance Accounting to anyone new to the insurance industry whether or not they are proficient in financial accountancy. ”
- David Statham, Group Internal Auditor, IGI Insurance
“Role play situations really helped to put the theory of the course into an understandable context that I could relate to.”
- Countrywide
“An excellent industry focused overview of the subject pitched at the right level for all attending. We took value from the day as a team.”
- Barclays Insurance Services Ltd
“Good structure, content and pace of learning”
- Group Compliance Manager, Clarke Roxburgh
“An excellent all round briefing with detail and in depth exploration where necessitated”
- Tim Sierwald, Audit Manager, Assurant Solutions
“The session really made me think about the how to apply the theory of Risk Based Management. Lots of great thought provokers and break out sessions were extremely useful. ”
- Anna Mansbridge, Business Quality Technician, Allianz Cornhill
“We commissioned CTP to undertake a competency review. They listened well, spoke our language, took time to understand our needs and provided a workable solution in a cost effective manner.”
- John Moffatt, Compliance Director, Riverstone
“Pitched at appropriate level with good mix of tell and activity based learning”
- Legal & General
“A difficult subject communicated effectively and in a relaxed manner. Thank you.”
- S J Fisher, Managing Director, Colemans
“CTP have a thorough understanding of the "regulation" … but more importantly the ability to … translate it into company process efficiently and with the minimum of fuss.”
- John Constable, Head of People Development, JLT Risk Solutions Ltd
“A very succinct and highly knowledgeable explanation and presentation of the subject”
- Duncan Howorth, Managing Director, JLT
“CTP very quickly got to grips with our requirements and tailored the course to meet our needs. We had a fantastic dialogue going with our management group. ”
- MD, Assurant Solutions
“CTP's training gave me a vital opportunity to consider the Arrow 2 process and has given me a head start in preparing for this important business event ”
- Simon McCulloch, Business Development Director, Countrywide
“The trainer had superb knowledge of our company, our industry, the regulator and communicated in 'plain English'. There was no jargon. An excellent day! ”
- Ceara Joyce, Head of Risk with Profits, Legal and General
“I found this event of great benefit. Trainer is fantastic. One of, if not the, best courses I have ever been on. Thank you so much.”
- Rensburg Sheppards
“This was fantastic - I would not hesitate to go on another of these courses in the future. Thoroughly recommended. Very good -knowledgeable & approachable”
- Harsa Charman, Liverpool Victoria
“Excellent course, useful practical tools given”
- Co-operative Bank
“Essential event for anyone attending an FSA ARROW visit meeting”
- James Cooper, Financial Controller, Locktons
“Very knowledgeable course leader who used his practical experience well.”
- By Derek Wood, Compliance Manager at Skandia UK
“Useful consideration of the compliance function in the round. Some good reminders and food for thought to help benchmark where our complaince function is.”
- By David Lingwood, Group Compliance Officer, IGI Insurance Co Ltd
“Corporate Training Partnerships have carried out two major projects for us involving consultancy, project work and training of a group of our managers. We were very happy with the results of their work which are standing the test of time.”
- Karen Martin, HR and Communications Director, Britannic Assurance
“I would strongly urge senior managers in the insurance industry to attend this course which really prepares you for FSA interviews.”
- Paul Williams, regional Managing Director, Folgate (Towergate)

Corporate Training Partnerships Ltd, London Office: 60 Lombard Street, London, EC3V 9EA. Tel: 0203 1705779
Milton Keynes Office: Suite 1:20, Second Floor, Norfolk House East, 499 Silbury Boulevard, Milton Keynes, Buckinghamshire, MK9 2AH Tel: 01908 488170

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