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Agenda
Agenda
Agenda: Successful Regulatory Visits and Meetings
08:30 – 09:00
Registration and refreshments
09:00 – 09:15
Introductions
- Brief backgrounds
- Attendees’ aims
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.
09:15 – 09:45
Scene Setting
- 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 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.
09:45 – 10:30
Visit notification with war game exercise
- War game - thematic risk visit notification
- Discussion and guidance on visit notification management
10:30 – 10:45
Morning break
10:45 – 11:30
Information request management
- War game - operational risk visit information request
- Discussion and guidance on information request management
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.
11:30 – 12:00
Visit agenda and administration
- Guidance on visit agenda management
- Guidance on visit administration
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.
12:00 – 13:00
Lunch
13:00 – 14:00
Visit preparation
- Exercise – internal preparation kick off meeting
- Exercise – “aide memoire”
- Discussion and guidance on visit preparation
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.
14:00 – 14:30
Day of visit management
- Hints and tips for on-site regulatory management
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.
14:30 – 15:00
Afternoon break
15:00 – 16:00
Interview technique part 1
- Video example (front office interview) and feedback discussion
- Guidance on interview technique
- Role play exercise
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.
16:00 – 16:30
Recap day one and questions
16:30 – 16:30
End of day one
08:30 – 09:00
Registration and refreshments
09:00 – 10:00
Interview technique part 2
- Video example (risk head interview) and feedback discussion
- Role play exercise
- Questions and answers, and recap interview technique
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.
10:00 – 10:30
Post visit management
- Initial feedback
- Follow-up information request
- Responding to formal findings
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.
10:30 – 10:45
Morning break
10:45 – 12:00
Writing for regulators
- 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 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.
12:00 – 13:00
Lunch
13:00 – 13:45
Risk visits
- Thematic visits
- Supervisory visits
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.
13:45 – 14:30
Capital visits
- Capital model visits
- ICAAP visits
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.
14:30 – 14:45
Afternoon break
14:45 – 15:15
Liquidity visits
- Treasury visits
- ILAAP visits
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.
15:15 – 16:00
Other regulatory visits and meetings
- Periodic risk and liquidity meetings
- SMR interviews
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.
16:00 – 16:30
Recap days one and two and questions
16:30 – 16:30