2019 Compliance CPD Series – Session 8 – Regulatory Inspections – Pitfalls and Preparation

Course Summary

This session will give an overview of the practical aspects of preparing for a regulatory inspection, the potential risks for a firm and the preparations which a firm can take to ensure that it is ready.

Introduction

There is a great deal of preparation involved in ensuring that a regulatory inspection runs smoothly and this course will give an outline of the types of visit which can be expected, the notification and the pre-visit plan and what can be done to ensure that your business is in the best possible shape ahead of a visit, how to identify areas of risk, the on-sight process and post on-sight expectations.

If you would like to attend a more detailed course on Practical Preparations for Regulatory Inspections, Sharon Alvarez runs a half day course and you can register your interest for it here.

Tutor Profile

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.

Course at a Glance

  • Next Start Date: 10 October 2019
  • CPD Points: 1
  • Course Cost: £45.00
  • Course Length: 1 hour (12:30-13:30)
  • Location: GTA University Centre, Guernsey
  • Tutor: Sharon Alvarez

There are no dates currently available for this course, If you would like to register your interest please complete the form below:

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