An event hosted by:

2020

London, UK

A poor risk, capital or liquidity regulatory visit can significantly impact the tone and intensity of the regulatory relationship and the ability to manage future issues constructively.

In this highly practical course, during day one and the start of day two participants will war game the different stages of a risk visit from notification through to the information request, the on-site visit itself and then post visit actions.

Through interactive exercises participants will experience and practice techniques for successful regulatory meetings and visits. The rest of day two then focuses on applying these techniques to different types of risk, capital and liquidity visits plus periodic meetings and SMR interviews.

What will you learn?

Learn how to respond effectively to visit notifications
Understand how to manage information requests
Latest interview techniques for regulatory meetings
How to ensure smooth running of the on-site visit
Managing post visit feedback and responses

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Who should attend?

This course will benefit all staff involved in risk, capital or liquidity regulatory visits and meetings or who provide 2nd or 3rd line of defence oversight of regulatory visit management. Relevant departments may include but are not limited to:

Risk - Treasury - Finance - Compliance - Product Control - Valuation - IT - Operations - Business management - Audit

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Where to apply these skills and techniques?

Risk visits – thematic and supervisory
Capital visits – model and ICAAP
Liquidity visits – treasury and ILAAP
Periodic risk and liquidity meetings
SMR interviews

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Pricing options

We offer flexible pricing options for this course:

Early bird rates - save £400
Group booking rate - save up to £2000
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Course tutors

Lydia Bailey

Director

Metidian

Lydia Bailey has experience of regulatory visits from all perspectives. She was a risk specialist at the Bank of England / FSA, leading over ninety regulatory visits to firms in UK, US and Asia. As BP Head of Compliance for UK and Europe, and then through her work at JPMorgan as Head of the EMEA Regulatory Management she managed over fifty regulatory visits. She now helps others prepare for regulatory visits and meetings through her company Metidian, and reviews regulatory submissions including ICAAPs and ILAAPs for firms. In this workshop she shares her practical experience and insights.

Howard Walwyn

Visiting lecturer in writing for business

City University

Howard Walwyn is a freelance copywriter, editor and trainer. After 30 years as a risk and regulatory practitioner he now trains and writes/edits content for financial services and other clients. He is a visiting lecturer in writing for business at City, University of London and a professional member of the Society for Editors and Proof-readers. His clients include the Bank of England, the Financial Conduct Authority and HSBC. His session on Day two of this course will focus on applying clear writing principles to content intended for regulators; including submissions, correspondence and other documentation.

Janet Walton

Independent Consultant

Janet Walton works as an independent consultant on liquidity related topics. Recent projects include ILAAP QA review and liquidity aspects of Solvent Wind Down. She is also a course tutor on liquidity and funding related courses offered by the UK Asset & Liability Management Association. Janet worked at JPMorgan Chase until June 2015 in a wide variety of roles over 17 years covering Middle Office, Operational Risk, Business Management and for the last 6 years she was the Regional Head of Liquidity Management for Europe.

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CPD / CPE Accreditation

CPD Accreditation

This course is CPD (Continued Professional Development) accredited and will allow you to earn up to 8 credits. One credit is awarded for every hour of learning at the event.

CPE Accreditation

This course is CPE (Continuing Professional Education) accredited and will allow you to earn up to 8 credits. One credit is awarded for every hour of learning at the event in accordance with the standards of the National Registry of CPE Sponsors.

Successful Regulatory Visits and Meetings: