HOME
 

Regulatory Visits Masterclass

Chapelle Consulting
Course summary
Professional Training
10.5 hours
870 GBP excl. VAT
Part time
Online courses

Course description

Regulatory Visits Masterclass

Taught by former UK regulators, this Masterclass course delivered over 3 half-days demystifies regulatory visits, clarifies regulatory expectations, and prepares firms for a better relationship with their regulatory bodies, whether in the UK or anywhere in the world. At its centre is an interactive case study (over days 2 and 3) of a simulated visit to review operational risk management, where delegates will role-play a visit from receipt of the letter and pre-visit information request through to the day of the visit and post-visit actions and learnings. On completion of this course, participants will have gained an advanced understanding of:

  • The mindset of Regulators and their key objectives;
  • Regulatory expectations of firms and their Senior Management;
  • How to manage regulatory visits (through an interactive case study);
  • Dealing with different types of questions and what to do when things go wrong.

Suitability - Who should attend?

  • Senior Managers who will engage with Regulators;
  • Compliance and Legal Officers;
  • Operational Risk Managers ;
  • Regulatory Coordinators;
  • IT/Operations/Business Continuity Staff who interact with Regulators;
  • Internal Auditors;
  • Consultants.

Training Course Content

Day 1 (29/09 - 1pm-4.30pm BST) : Regulatory Relations – Context and Expectations

  • Global and UK regulatory structure and institutions and post GFC Reforms
  • Prudential and Conduct Supervision
  • FCA and PRA – organisation, statutory objectives and key activities
  • Regulatory Priorities
  • Accountability – UK SM&CR regime and the 3LOD
  • Conduct and Culture
  • Building a reputation for identifying problems and fixing them
  • Supervisory tools e.g. information requests, supervisory or specialist team visits, capital add-ons, S166, enforcement

Day 2 (30/09 - 1pm-4.30pm BST) : Regulatory Visit Management – Training to the Test (Part 1)

  • Types of visits
  • Principles of visit management
  • Interactive Case Study: Preparing for a supervisory visit to review operational risk
  • Receipt of the visit letter
  • Dealing with the Information Request
  • SWOT analysis
  • Forward planning for the visit

Day 3 (01/10 - 1pm-4.30pm BST) :Regulatory Visit Management – Training to the Test (Part 2)

Interactive Case Study:

  • Logistics – planning for the day
  • Types of questioning
  • The day of the visit
  • What to do when things go wrong
  • Do’s and Don’ts
  • Post-visit Management – learning lessons for next time and information sharing

Course delivery details

Course Leaders

  • Andrew Sheen (Day 1)

Andrew Sheen is best known for the 8 years he spent at the UK regulator, firstly in the FSA and subsequently at the PRA. Andrew was manager of the Operational Risk Policy Team before moving to head the team responsible for providing Operational Risk subject matter expertise to supervisors. This involved assessing Operational Risk frameworks in a wide variety of financial institutions. Andrew also represented the UK on the Basel Committee for Banking Supervisors Operational Risk Working Group and the European Banking Authority’s Operational Risk Working Group.  

Before joining the FSA Andrew implemented Operational Risk frameworks in an international bank and a UK investment bank. After the PRA Andrew became Head of Operational Risk Use and Embedding at HSBC and subsequently Head of Operational Risk Regulatory Risk Management a Credit Suisse.

  • Lydia Bailey (Days 2 and 3)

Lydia Bailey has a career spanning over 30 years in financial services. Lydia spent five years as a risk specialist on the Traded Risk and Operational Risk review teams at the Bank of England / FSA carrying out over 90 on-site visits. She spent three years as a Head of Compliance at BP and nine years as European Head of Regulatory Management at JPMorgan. While at JPMorgan she was responsible for the management of many regulatory visits of all types.

Lydia has very extensive experience of regulatory visits from the perspective of regulatory interviewer, interviewee, and through providing support for firms in their regulatory visits. She is passionate about helping firms and individuals perform at their best under the artificial conditions of regulatory visits and interviews. She has led webinars, workshops and courses on this topic for UK Finance, The Institute of Operational Risk, Op Risk Europe, and the Building Society Association.

  • Jimi Hinchliffe (Days 1 – 3)

Jimi has 25 years of experience in operational risk and regulation. Jimi has held several roles at the UK regulator, including in risk as an operational risk policy SME, Basel 2 Technical Specialist and manager of the Basel 2 Implementation team. Jimi was also a supervisor of GSIFI banks and investment firms at the UK regulator. Jimi then held senior positions within the GSIFI MUFG, including as Head of EMEA Regulatory Affairs and Head of Compliance Policy and Risk.

Jimi’s main areas of expertise and interest are operational risk and regulatory affairs, and in addition to consulting projects, Jimi has published a number of journal articles on his specialist subjects and spoken at international conference. Jimi has also developed and delivered training including for the IIF, Risk.net and CefPro. Jimi is a former director of the Institute of Operational Risk (IOR), and between May 2017 to March 2021 was Chairman of the Executive Committee of IOR in England & Wales. Jimi is also a Fellow of the Institute and Technical Specialist Member of the IRM and a Member of the CISI. In 2017 Jimi partnered with Chapelle Consulting to secure a place on the S166 panel under Chapelle.

Why choose Chapelle Consulting

1,000+ course participants per year

2,000+ webinar attendees per year

25+ courses delivered per year globally

Expenses

The Masterclass costs 870 £ and is intended for experienced stakeholders from a variety of audiences.

Discounts:

  • "3 + 1" formula for members of the same company

About provider

Chapelle Consulting

Founded and directed by Dr Ariane Chapelle since 2006, Chapelle Consulting is an award-winning firm recognised globally for its team’s dedication to delivering the best training and advisory services in operational and enterprise risk management. Combining extensive experience with passion,...


Read more and show all courses with this provider

Request info

Fill out your details to find out more about Regulatory Visits Masterclass.

  Contact the provider

  Get more information

  Register your interest

Country *

Contact info

Chapelle Consulting

Level 33, 25 Canada Square
E14 5LB London

 Show phone number


Reviews

Average rating 4.5

Based on 2 reviews.

Delegate from a UK building society
Really helpful insight and practical learning, safe environment to learn and good networking to share insight good practice to/from others. Good content delivered effectively!
Delegate from a UK building society
Really good coverage of relevant content/topics with a logical flow.
Request information

Find out more about this Regulatory Visits Masterclass course - simply fill out your details:

Find a course for you!

  Read the course
 summary on this page

 Fill in your details and Request information

 Receive all the info you need

Find more courses here