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

1. Materials Contracts Template Bundle

2. Designated Person of Appointment Template Bundle

3. Complete CP86 Toolkit Bundle

4. Template Letter of Appointment for Designated Person – Regulatory Compliance

5. Template Letter of Appointment for Designated Person – Operational Risk

6. Template Letter of Appointment for Designated Person – Investment Management

7. Template Letter of Appointment for Directors

8. Policies and Procedures for AIFM – Framework

9. Policies and Procedures for UCITS Management Company – Framework

10. Template Investment Fund Mandate

11. Organisational Effectiveness Role Profile

12. Template Amendment to Distribution Agreement

13. Template Amendment to Fund Administration Agreement

14. Template Amendment to Investment Management Agreement

15. Template Amendment to Management Agreement

16. Template Annual Activity Checklist

17. Template Letter of Appointment for Designated Person – Capital & Financial

18. Template Letter of Appointment for Designated Person – Distribution

19. Template Letter of Appointment for Designated Person – Fund Risk Management