FRA Regulations in Practice
Licensing, disclosure and supervisory expectations applied to real regulatory files.
Programme overview
A file-based programme for compliance leaders: how rules are applied in inspection, what evidence supervisors accept and how findings are remediated.
Participants work through anonymised inspection findings and build a remediation plan with owners and deadlines.
Key learning outcomes
- 01Navigate the regulatory framework governing non-bank financial activity
- 02Maintain licensing conditions and notify changes correctly
- 03Build a disclosure calendar and control its execution
- 04Prepare the firm for an on-site inspection
- 05Draft remediation plans that close findings
- 06Report to the board on regulatory risk
Curriculum
Regulatory framework
Statutes, decrees and the supervisory mandate.
Licensing lifecycle
Conditions, changes of control, notifications and renewals.
Disclosure obligations
Periodic, event-driven and shareholder disclosures.
Inspections
Document requests, interviews, findings and appeals.
Remediation & reporting
Action plans, evidence packs and board reporting.
Prerequisites, assessment & certification
Prerequisites
At least two years in a compliance, legal or audit function.
Assessment
Written examination plus remediation plan submission.
Certification
Counts toward the Compliance Officer Certification.
Other programmes in this track
Reserve a place on the next cohort
Member firms receive preferential rates and can nominate delegates directly through the secretariat. In-house delivery is available for cohorts of ten or more.