Managing Regulatory Relationships

The PRA and FCA expect firms that they regulate to proactively manage their relationship with them as underpinned by Principle 11 of the Principles for Businesses and Fundamental Rule 7.

All too often a firm is submitting an application for a new permission or a new senior manager and the regulator responds expressing surprise, asking for a lot more information or citing Principle 11 and reminding the firm of the need to keep the regulator up to date.


Below are details of the suggested sessions that we can run either as formal training or as a coaching session on managing regulatory relationships.


Looking for something specific?

Let us know and we can discuss tailoring a course just for you.