Successful Regulatory Visits and Meetings
Deliver successful risk, capital and liquidity regulatory visits and meetings through a very practical, highly interactive two day workshop
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.
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
CPD / CPE Accreditation
This course is CPD (Continued Professional Development) accredited and will allow you to earn up to 12 credits. One credit is awarded for every hour of learning at the event.
This course is CPE (Continuing Professional Education) accredited and will allow you to earn up to 12 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.
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