The Role of the Board in Anticipating & Managing Regulatory Interventions

Date: On a date of your choice
Location: Delivered as an interactive briefing
Event Code: AMRI

Course Details

Boards and Senior Executives understand that Regulators are an important stakeholder that requires thoughtful managing. So why does that relationship often feel challenging and what can Boards do to enhance the effectiveness of that relationship?

Our highly interactive briefing is designed to expand participants’ understanding of the regulatory environment, the personal regulatory expectations of them, and gain insights into how to anticipate issues that may emerge and how to deal with them.  We will also explore how Boards can ensure they remain current on external developments at other firms and the regulators, as well as on internal regulatory challenges. The group will explore what has worked well and not so well from other firms; and key learnings from our firm’s experiences will be shared.

Armed with the increased awareness gained from this session Board Directors will be better positioned to support and challenge their Executive team on regulatory issues and relationship management, as well as consider their personal strategy for regulatory interactions.  Senior Executives will gain new insights into managing their relationships with regulators and their Board.

Whether or not you have a dedicated supervisory contact this workshop is ideal for Board Directors and Senior Executives who want to reaffirm their approach to regulatory management and/or seek additional ideas of how to enhance that approach.


1. Setting the Scene

  • Board responsibilities
  • Senior Managers Regime - Conduct Rules
  • Intervention types – ongoing, specific, ‘big trouble’, thematic
  • Aligned goals of firms and the regulators

2. Consider the Regulators’ Perspective

  • Statutory obligations/Priority topics
  • Principles of good regulation
  • Tools at their disposal
  • Annual Business Plan – life cycle of issues

3. Effective Relationship Management

  • What ‘good’ looks like
  • How to work ‘in harmony’ to deliver better outcomes
  • Managing ongoing dialogue/events
  • Handling the regulator when you don’t have named supervisor

4. Dealing with a ‘Serious’ Intervention

  • Signs of an escalating issue - reviews, warnings, Skilled Person Review, enforcement
  • Board engagement - awareness, management information, escalation
  • Proven approaches to managing to a ‘best possible’ outcome for all
  • Handling the outcome and its impact

Key Benefits

  • Gain a clearer understanding of regulatory expectations, of you and your firm, and possible intervention points
  • Explore the role of the Board versus Executives in the regulatory arena
  • Understand WHY the regulators’ approach is as it is  - and what tools they have available to fulfil their responsibilities
  • Consider if your firm’s approach, as well as your own, to working with the regulators is as effective/efficient as it might be
  • Identify best practices for handling regulatory interventions of all type
  • Learn how to identify a ‘serious’ intervention is coming and approaches for managing it to a sensible conclusion




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