FCA Supervisory Visit Preparation Playbook
Your complete framework for preparing and managing FCA supervisory interactions with confidence — from routine information requests to full on-site visits.
Download Your Playbook Now
When the FCA Calls, Most Firms Scramble
The Preparation Gap
Firms spend thousands on compliance frameworks but almost nothing on preparing for how those frameworks will be examined. When the FCA notification arrives, it is already too late to start organising.
Nervous Senior Managers
SMF holders who cannot confidently articulate their responsibilities and decision-making is one of the most common findings. The FCA notices when leaders hesitate.
Disorganised Documentation
Policies with expired review dates, MI that contradicts complaints data, training records that cannot be located — these are avoidable findings that damage your firm’s credibility.
Everything You Need to Be Ready
FCA Supervision Overview Guide
Understand how FCA supervision works, including flexible and fixed portfolio approaches, common triggers for engagement, and the different types of interaction your firm may face.
Supervisory Strategy Assessment Template
A structured assessment to complete as soon as you are notified of any FCA engagement, with readiness scoring and gap identification across 12 key areas.
Information Request Response Protocol
Step-by-step protocol for responding to Section 165 requests, including a 10-point immediate action checklist, document tracker, and quality assurance review.
Comprehensive Site Visit Preparation Checklist
Covers strategic preparation (2+ weeks before), operational setup (1 week before), and day-of-visit procedures — nothing is missed.
Room and Facility Setup Guide
Practical specifications for preparing your physical environment, including meeting room requirements, breakout room setup, and reception procedures.
Key Personnel Briefing Template
Individual briefing sheets for every person who may interact with the FCA, plus the 10 Golden Rules for all staff during supervisory engagement.
Interview Preparation and Coaching Guide
Common FCA questions across seven topic areas, plus the STAR framework for structuring confident, evidence-based responses during interviews.
Document War Room Protocol
Complete framework for organising all documents the FCA may review, structured across 10 categories with a readiness checklist.
Real-Time Issue Escalation Procedure
Pre-defined escalation triggers, contact matrix template, and six professional response scripts for handling difficult moments during a visit.
Post-Visit Action Tracking Template
Structured action register, immediate post-visit debrief process, and board reporting guidance to demonstrate professional follow-through.
Regulatory Relationship Management Guide
Principles and strategies for maintaining an effective ongoing relationship with the FCA — building trust before formal engagement occurs.
Common FCA Focus Areas by Firm Type
Tailored guidance on FCA focus areas for investment firms, insurance intermediaries, mortgage brokers, payment service providers, consumer credit firms, and wealth managers.
Built on Regulatory Authority
Built for Compliance Professionals
Compliance Officers
Lead supervisory preparation with structured frameworks and checklists.
Senior Managers
Prepare for FCA interviews with coaching guidance and the STAR framework.
MLROs
Ensure financial crime documentation is visit-ready and evidence-based.
Company Secretaries
Coordinate governance documentation and board reporting.
Risk Managers
Demonstrate risk framework effectiveness through structured evidence.
Compliance Consultants
Support client firms with a proven, professional preparation framework.
The Firms That Handle FCA Visits Best Prepared in Advance
Not for a specific visit, but for the eventuality of regulatory scrutiny. They know where everything is. They have briefed their Senior Managers. They have anticipated the obvious questions.
This playbook gives you that advantage.
Frequently Asked Questions
What format is the playbook?
It is a professional Word document (.docx) that you can fully customise with your firm’s name, details, and branding. All templates are ready to complete and use immediately.
Is this suitable for all FCA-regulated firms?
Yes. The playbook covers supervisory preparation applicable to all FCA-regulated firm types, with Section 13 providing specific focus areas for investment firms, insurance intermediaries, mortgage brokers, payment service providers, consumer credit firms, and wealth managers.
Do I need to be expecting an FCA visit to benefit from this?
No. In fact, the greatest value comes from using this playbook proactively — before you receive notification. Firms that prepare in advance consistently perform better when the FCA does engage.
What regulatory frameworks does this reference?
The playbook is built with reference to the FCA Approach to Supervision, SUP 2, FSMA 2000 Sections 165–167, FCA Principle 11, PRIN 2A (Consumer Duty), SYSC, SMCR, and current FCA Business Plan priorities.
Can I use this for Section 166 Skilled Person Reviews?
Many of the preparation principles apply to s.166 reviews, particularly the document organisation, interview preparation, and post-engagement action tracking sections. For a dedicated s.166 preparation toolkit, see our Section 166 Preparation Toolkit.
Be Ready Before the FCA Calls
Stop scrambling when the notification arrives. Build your supervisory readiness now.
Immediate download after purchase. Includes VAT at 20%.
