f you are selected as part of thematic work, are on notice for a supervision visit or are applying to be a Significant Influence Function (SIF) you are likely to be involved in an FCA on-site assessment or interview.

Understanding the FCA’s expectations and how to manage the responses can be challenging. We understand how difficult it can be to be ‘put on the spot’ and to be able to provide the right response at the right time. Being prepared can therefore help you avoid unnecessary effort and operational disturbance.

How can we help?
Our specialist Advisory Services team understand the importance of meaningful preparation for any face-to-face engagement with the FCA and can help with.

Our collaborative approach ensures we have a good understanding of your business model, your regulatory history, the purpose of the FCA’s visit or interview and the desired outcome. We can then focus on the conduct risks applicable to your sector and business strategy.