Agenda

Agenda

Agenda: Successful Regulatory Visits and Meetings

Day one: Wednesday, March 25, 2020

08:3009:00

Registration and refreshments

08:30 - 09:00

09:0009:15

Introductions

09:00 - 09:15

  • Brief backgrounds
  • Attendees’ aims
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.

09:1509:45

Scene Setting

09:15 - 09:45

  • Types and trends in regulatory meetings / visits (risk, capital and liquidity)
  • Outline of course and course aims
  • Outline of supervisory method and regulatory visits
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.

09:4510:30

Visit notification with war game exercise

09:45 - 10:30

  • War game  - thematic risk visit notification
  • Discussion and guidance on visit notification management

10:3010:45

Morning break

10:30 - 10:45

10:4511:30

Information request management

10:45 - 11:30

  • War game  - operational risk visit information request
  • Discussion and guidance on information request management
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.

11:3012:00

Visit agenda and administration

11:30 - 12:00

  • Guidance on visit agenda management
  • Guidance on visit administration
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.

12:0013:00

Lunch

12:00 - 13:00

13:0014:00

Visit preparation

13:00 - 14:00

  • Exercise – internal preparation kick off meeting
  • Exercise – “aide memoire”
  • Discussion and guidance on visit preparation
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.

14:0014:30

Day of visit management

14:00 - 14:45

  • Hints and tips for on-site regulatory management
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.

14:3015:00

Afternoon break

14:45 - 15:00

15:0016:00

Interview technique part 1

15:00 - 16:00

  • Video example (front office interview) and feedback discussion
  • Guidance on interview technique
  • Role play exercise
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.

16:0016:30

Recap day one and questions

16:00 - 16:30

16:3016:30

End of day one

16:30 - 16:31

Day two: Thursday, March 26, 2020

08:3009:00

Registration and refreshments

08:30 - 09:00

09:0010:00

Interview technique part 2

09:00 - 10:00

  • Video example (risk head interview) and feedback discussion
  • Role play exercise
  • Questions and answers, and recap interview technique
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.

10:0010:30

Post visit management

10:00 - 10:30

  • Initial feedback
  • Follow-up information request
  • Responding to formal findings
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.

10:3010:45

Morning break

10:30 - 10:45

10:4512:00

Writing for regulators

10:45 - 12:00

  • Principles and motifs of good business writing
  • The importance of story
  • What regulators need and how to deliver it
  • Interactive discussion on style, usage and consistency
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.

12:0013:00

Lunch

12:00 - 13:00

13:0013:45

Risk visits

13:00 - 13:45

  • Thematic visits
  • Supervisory visits
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.

13:4514:30

Capital visits

13:45 - 14:30

  • Capital model visits
  • ICAAP visits
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.

14:3014:45

Afternoon break

14:45 - 15:00

14:4515:15

Liquidity visits

14:30 - 15:15

  • Treasury visits
  • ILAAP visits
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.

15:1516:00

Other regulatory visits and meetings

15:15 - 16:00

  • Periodic risk and liquidity meetings
  • SMR interviews
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.

16:0016:30

Recap days one and two and questions

15:45 - 16:15

16:3016:30

End of course

16:15 - 16:16