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CPD Hours Level
Seminar 3 IntermediateInformation

Introduction

This practical workshop will provide you with advice on how best to comply with your legal and regulatory obligations.

In particular, it will cover your obligations to notify the relevant regulators of notifiable events, strategies for dealing with the regulators during such engagement and insight into how the regulators may respond.

The workshop will be held under the ‘Chatham House’ rules to promote free and constructive discussion on this important topic.

What You Will Learn

This course will cover the following:

  • Session One: Top Tips on Supervisory Engagement with the FCA and PRA
    • A reminder of the current regulatory/legislative regime applicable in relation to co-operation with and reporting to the regulators
    • Practical tips on day to day engagement with the regulators
    • Preparing for and dealing with a supervisory visit, including the role of your senior management
    • Supervisory engagement post such a visit
    • An interactive scenario covering the above issues for you to discuss in groups followed by a facilitated discussion of the actions and issues the groups have identified
  • Session Two: Lessons Learned from Supervisory Interventions and Engagement with Enforcement Teams
    • Lessons learned from the past
    • How to deal with unannounced visits and search warrants/dawn raids (including the legal requirements in relation to the latter)
    • An overview of the process when considering notifications to the FCA/PRA
    • How to respond to potential supervisory action including variations of permission, imposition of a requirement or a s166 skilled person requirement, including how your senior management should be involved in such responses
    • The risk of enforcement action and how to reduce such a risk via your interactions with the regulators
    • An interactive scenario covering the above issues for you to discuss in groups representing a firm or the FCA, followed by a facilitated discussion of the actions and issues identified by your groups

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Seminar | 27.01.2020

London | 2:00pm - 5:15pm


Regulatory Engagement Workshop - For FCA Authorised Firms

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Jan
27
2020
London
2:00pm - 5:15pm
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Prices (ex VAT)
Smart
Plan Information
£108
Season
Ticket Information
£120
Standard
£240
Group bookings
Discounts are available for multiple places and if you have 5 or more people interested in this course and would like to discuss holding it in your area or on an in-house basis then please email us at information@mblseminars.com
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