RESOURCES / TOOLS
1. Mock Interviews
If you're meeting the Regulator for PRISM, Ongoing Supervision, as part of a thematic review, Fitness & Probity reasons or because you have received a Risk Mitigation Programme, then being prepared means having a mock interview.
Mock Interviews typically include:
1. Reviewing your correspondence with the Regulator to prepare a thorough line of questioning.
2. A 1-Hour Mock Interview with' "A Regulator" and a "Human Behaviour Specialist" who will each prepare a complete set of feedback for you to take away and use to evolve your preparations for meeting the CBI.
3. 1-Hour Feedback on your performance, tells, areas you were strong in, areas you struggled most in, and where to focus your efforts now.
4. A complete set of our questions to take away and review. We averagee 10 pages of typed questions per Mock Interview.
Email to set up a discovery call.
2. CP86 Tools
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Template Letter of Appointment for Designated Person – Regulatory Compliance
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Template Letter of Appointment for Designated Person – Operational Risk
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Template Letter of Appointment for Designated Person – Investment Management
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Policies and Procedures for UCITS Management Company – Framework
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Template Letter of Appointment for Designated Person – Capital & Financial
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Template Letter of Appointment for Designated Person – Distribution
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Template Letter of Appointment for Designated Person – Fund Risk Management