FCA Visit Preparation
Written by Charlie Palmer on 19/10/2018

FCA vists are a terror for all firms, and if they are not, then something is aleady wrong.  FCA don't pretend to be cuddly, and they call themselves an enforcment led regulator.  The staff head count has increased by half since 2014, and many of these staff are looking to get out into your offices and get a peice of the action.  This course will give you important practical and regulatory understanding and context in a high stakes environment, where keeping a cool head is essential.

Investigative staff can easily overstep their powers - and managing your firm’s response to the investigation is critical to a positive outcome.You and your staff are also likely to suffer significant stress-related fallout - and you need to prepare and manage this.

  • What power do the FCA have?
  • Who should attend?
  • How much should I say?

This half day session explores FCA investigations, the forms that they take, the preparations that firms can take to minimise their impact and how to manage the investigations themselves. The training provides an indication of what the firm principal should be doing today to prepare for tomorrow.

This course is aimed at FCA-regulated clients and compliance staff looking to enhance their understanding of the FCA investigation processes.

This course will cover the following:

  • FCA approach
  • Managing the visit
  • Which buttons to press when being interviewed
  • Which buttons NOT to press, when being interviewed
  • Negotiation techniques when dealign with the FCA

The seminar lead will be qualified practitioner and industry veteran Max Durrant, assisted by Charlie Palmer.

Interested? Book online by clicking "Register now" below.

9.30 - 11am Wednesday 14th November

£50 Fee per attendee.  Members free, 

Register now

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