This half day course will look at the documentation you need to submit prior to a GFSC visit, run through the conduct of a GFSC visit and what the outcomes of a GFSC visit might include.
Most firms will receive a regulatory inspection visit at some time. The GFSC’s approach to supervision has changed and although visits are not as frequent, they are more targeted. They have settled on the thematic review as an efficient means of meeting their legislative supervisory obligations and for getting messages across to firms. In preparing for a visit, companies should be aware of what documentation needs to be submitted prior to a visit, the process of a visit, and the likely outcomes. This course is aimed at compliance officers, MLROs or directors who are either expecting a visit or who want to ensure that they would be prepared should they be visited.
Firms cannot ignore the need to review or they run the risk of severe regulatory sanction at some point in the future. You’d be wise therefore to proactively plan for such an eventuality – but how can you do this?
By attending this course you will be prepared for the process of a GFSC visit and all that it entails.
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 244570.
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.