The Training Environment For Financial Services

Preparing for your FCA Visit

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Outline & Objectives

The UK financial services industry faces ever more intrusive regulatory scrutiny and tougher penalties for failures to comply. The FCA continues to focus on “credible deterrence” to ensure that financial services firms behave in accordance with its requirements. In keeping with this, regulatory visits of all types have become more stringent and more intrusive than ever before, with an increased likelihood of enforcement action, follow up work required and other regulatory interventions. Thorough and detailed preparation is key to a good outcome to the visit. Firms that prepare thoroughly tend to experience little or no difficulty, whereas those that do not prepare may face an uncertain outcome.

This focused course is designed to help you and your senior management know what to expect from a supervisory visit, how to prepare effectively and what steps you can take to have a positive influence on the visit itself.

If your firm is facing or likely to face the prospect of a regulatory visit, this focused half day seminar will:

  1. Identify the regulator’s key concerns and provide guidance on how to comply with them
  2. Examine the FCA’s approach to the visit
  3. Highlight some current themes and hot topics in regulatory visits
  4. Provide practical guidance on how to prepare for a regulatory visit
  5. Help you equip your senior management for regulatory interviews

Who will benefit?

This event will be of particular value to those whose firm is currently facing the prospect of a regulatory visit or might in the future. It is suitable for anyone who would benefit from learning more about the regulator’s concerns and approach to supervision, particularly those responsible for Senior Management oversight or day-to-day operational functions, as well as anyone in the Compliance or Legal functions of the business. 


Topics covered may include but are not limited to:

  • The supervisory approach of the FCA
  • What is the regulator looking for?
  • Senior management responsibility
  • Some current popular themes of regulatory visits
  • Preparing for the visit
  • Preparing for interview
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