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Finance, AML & Compliance

Practical Preparation for Regulatory Inspections

Course details

CPD Points





Half day (09:30-12:30)

Course Overview

This course will deal with the practical aspects of preparing a business for a regulatory inspection. Regulatory inspections enable the regulator to assess the risks presented by the firm and the firm should ensure that it is ready.

Course Content

  • The types of visit and understanding the regulator's approach
  • The risk assessment process
  • Visit notification and approach
  • The pre-visit information request
  • Compilation of a pre-visit action plan and suggested actions
  • How to identify key areas at risk
  • Staff briefings
  • The on-site process
  • Post on-site expectations

Course Benefits

This course is aimed at directors, senior managers and compliance staff plus any other staff responsible for the regulatory onsite process. Understand what can be achieved during the period between notification of a regulatory on-site inspection and the arrival of the on-site team and how to ensure that the business is fully prepared.

The content will consider the types of visit, the compilation of a suitable action plan, fulfilment of the pre-visit information request, briefing of relevant staff and the practicalities to ensure that the business is well prepared.

Next Steps

If you would like to book a place on this course please click on the ‘Book Course’ button to the right of this page and login or register for a user account to complete your booking(s). Any queries please do not hesitate to contact us via [email protected] or call us on 01481 224570.

If no date is scheduled for this course at the present time please click on the ‘Register Interest’ button and login or register for a user account so that we can add you to our course interest register. This register allows us to contact our tutors and finalise dates for a course as soon as we have a few people who have expressed their interest, so the more delegates who register their interest, the sooner we can schedule a particular course.

Course Tutor

  • Sharon Alvarez

    Sharon Alvarez is a Director of Resolve Partners Ltd. Prior to setting up Resolve Sharon was a Director of a large Guernsey fund administrator. She held the position of Group Head of Risk and Compliance with responsibility for Guernsey, London, Luxembourg and Jersey compliance, governance and risk management. She is a qualified accountant and Chartered Secretary.

    Sharon has over 30 years' experience of accounting, administration and compliance/governance including many years at board level on companies in multiple jurisdictions (including regulated General Partner boards). She has significant experience in leading licensed entities through complex and problematic situations including GP/Advisor divorce, mediation, regulatory issues and regulator onsite inspections including PRISM.

    Sharon enjoys all aspects of compliance, governance, company secretarial and risk management and since setting up Resolve has worked with clients from the fiduciary, fund, banking and insurance sectors.

Upcoming Courses

Some courses we run are scheduled based on demand. Please ensure you register your interest to ensure we know which courses you would like to attend.