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Preparing for an FSA ARROW II Visit
- UK regulation – An understanding of the FSA’s aims and objectives
- The purpose of the ARROW visit and the process
- The main aims and requirements under “SYSC” will be explained and emphasised
- How do you treat your customers fairly? – the session looks at how to ensure the adequacy of the firm’s policy
- An understanding of what the regulator will be looking for during the visit
- Advice on what preparation needs to be done before the visit (e.g. assigning responsibilities; what documents are likely to be needed; who is likely to be interviewed)
- Advice on how the key business and control risks of your business can be identified and documented
- Learning from the results of “ARROW visits in other firms will assist in achieving a successful FSA visit.
Duration
Half Day
