Finance and Banking

Managing Relationships with Regulators and Central Banking Authorities

A working programme in regulator relationship management for managers who have to deliver with existing resources.

  • 5training days
  • 4modules
  • 8sessions
  • 32topics
View packages and pricesCourse outline
Managing Relationships with Regulators and Central Banking Authorities
5days

About the programme

Course Overview

Growth built on poorly controlled regulator relationship management reverses faster than it accumulated. Regulators no longer accept intent as evidence of control over this area of financial and banking practice. The material serves both public bodies and commercial organisations dealing with this aspect of financial and banking practice. Participants apply regulator relationship management to their own business line throughout, so the output is directly usable. The outcome is a practitioner who can hold a position on this part of financial and banking practice and revise it on evidence. Applied research in financial and banking practice consistently shows that early structure around the wider financial and banking practice agenda reduces downstream rework. Most organisations already have a policy on regulator relationship management; far fewer can show it working. This programme builds the financial and banking practice capability from first principles, without padding and without omitting what matters. The closing exercise tests whether the participant's plan for this aspect of financial and banking practice survives a hostile question.

Expected Learning Outcomes

  • Diagnose whether a problem in regulator relationship management is one of design, resourcing or discipline.

  • Define the risk appetite applying to regulator relationship management and translate it into operating limits.

  • Build the audit evidence that demonstrates regulator relationship management operated as designed.

  • Define the scope and boundaries of regulator relationship management so that responsibility for it is unambiguous.

  • Set early warning indicators that flag deterioration in regulator relationship management.

  • Translate policy on regulator relationship management into procedures that hold up under day-to-day pressure.

  • Establish the segregation of duties required around regulator relationship management.

Who Should Attend

  • Managers with direct responsibility for regulator relationship management within the business line.

  • Operations staff executing and settling regulator relationship management.

  • Financial technology and change staff modernising regulator relationship management.

  • Regulatory reporting analysts covering regulator relationship management.

  • Board risk committee members overseeing regulator relationship management.

  • Internal auditors reviewing how regulator relationship management is designed and operated.

Course Modules

Open any module to see its sessions and topics.

01

Regulator relationship management: stress testing and scenario analysis

2 sessions · 8 points

Session 1Where regulator relationship management typically breaks, and why

  • Establish the boundary of regulator relationship management and record what sits outside it.
  • Set early warning indicators for regulator relationship management with defined action thresholds.
  • Document the remediation plan for each known weakness in regulator relationship management.
  • Test regulator relationship management against a scenario the organisation would rather not model.

Session 2Concentration building quietly inside regulator relationship management

  • Plan the sequence in which improvements to regulator relationship management will be introduced.
  • Confirm segregation of duties across initiation, approval and settlement of regulator relationship management.
  • Define acceptance criteria for regulator relationship management in advance.
  • Distinguish symptoms from causes when regulator relationship management underperforms.
02

Regulator relationship management: reporting that supports a decision

2 sessions · 8 points

Session 1What regulator relationship management does to capital and liquidity under stress

  • Assess the capital consumed by regulator relationship management under current and stressed conditions.
  • Confirm reporting on regulator relationship management reaches the committee that can act on it.
  • Check the legal and contractual exposure created by regulator relationship management.
  • Confirm that contractual obligations around regulator relationship management are understood.

Session 2The decisions in regulator relationship management that cannot be delegated

  • Anticipate the objections regulator relationship management will raise and prepare the answers.
  • Prepare the evidence pack demonstrating regulator relationship management operated as designed.
  • Review whether regulator relationship management is aligned with the objectives of the business line.
  • State the risk appetite for regulator relationship management as a number, not an adjective.
03

Regulator relationship management: measurement, models and their assumptions

2 sessions · 8 points

Session 1What a supervisor will ask about regulator relationship management, and in what order

  • Set out how exceptions to regulator relationship management are requested and approved.
  • Agree who signs off regulator relationship management and record that they did.
  • Name a single owner for each element of regulator relationship management.
  • Verify six months later that changes to regulator relationship management have held.

Session 2The assumption inside the model for regulator relationship management that nobody revisits

  • Verify reconciliation and settlement controls covering regulator relationship management.
  • Confirm client due diligence standards applied to regulator relationship management are current.
  • Identify where judgement in regulator relationship management is legitimate and where it is not.
  • Check the accounting treatment applied to regulator relationship management against current standards.
04

Regulator relationship management: audit evidence and examiner readiness

2 sessions · 8 points

Session 1Reporting regulator relationship management so the reader can act on it

  • Set out the decisions in regulator relationship management that require sign-off and by whom.
  • Write down the assumptions underpinning the approach to regulator relationship management.
  • Map the handovers in regulator relationship management between functions and secure them.
  • Prepare the summary of regulator relationship management that senior management will read.

Session 2Moving regulator relationship management from approval to execution

  • Confirm regulatory reporting on regulator relationship management is complete, timely and reconciled.
  • Collect evidence on the present handling of regulator relationship management before proposing changes.
  • Identify the key controls over regulator relationship management and who tests them.
  • Translate the appetite for regulator relationship management into limits someone monitors daily.

Choose the package that suits you

Silver Package

At least 3 people

USD1,250
  • Workshop or Program Participation
  • Airport Transfers
  • Customized Badge
  • Expert Mentorship (Private Sessions)
  • Supervision & Secretarial Services
  • Accredited Certificate of Participation
  • Complete Training Kit
  • Coffee Break
  • Closing Ceremony

Gold Package

At least 3 people

USD1,850
  • 5-night stay in a 5-star hotel
  • Workshop or Program Participation
  • Airport Transfers
  • Customized Badge
  • Expert Mentorship (Private Sessions)
  • Supervision & Secretarial Services
  • Accredited Certificate of Participation
  • Complete Training Kit
  • Coffee Break
  • Closing Ceremony

Complete your registration

We will contact you within one business day to confirm.

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