FCA Supervisory Visit Preparation Playbook

When the FCA contacts your firm, are you ready?

Most firms invest heavily in compliance frameworks but dedicate almost no time preparing for how those frameworks will be examined. When a supervisory visit notification arrives, the result is scrambled preparation, nervous senior managers, and a disorganised response that creates entirely avoidable findings.

This Playbook changes that.

The FCA Supervisory Visit Preparation Playbook is a comprehensive, step-by-step framework for preparing and managing every type of FCA supervisory interaction — from routine information requests to full on-site visits. It gives your firm the structure, tools, and tactical guidance to present itself with confidence.

What is included:

1. FCA Supervision Overview Guide

Understand how FCA supervision works, including flexible and fixed portfolio supervision, common triggers for engagement, and the different types of supervisory interaction your firm may face.

2. Supervisory Strategy Assessment Template

A structured assessment to complete as soon as you receive notification of any FCA engagement. Covers engagement context, internal readiness scoring, and gap identification.

3. Information Request Response Protocol

A step-by-step protocol for responding to Section 165 information requests, including immediate actions, a document tracker template, and a quality assurance checklist before submission.

4. Comprehensive Site Visit Preparation Checklist

Covers strategic preparation (2+ weeks before), operational preparation (1 week before), and day-of-visit setup — ensuring nothing is missed.

5. Room and Facility Setup Guide

Practical guidance on preparing your physical environment to project professionalism, including meeting room specifications, breakout room requirements, and reception procedures.

6. Key Personnel Briefing Template

Individual briefing sheets for every person who may interact with the FCA, including role-specific preparation, key messages, and the 10 Golden Rules for all staff.

7. Interview Preparation and Coaching Guide

Detailed guidance on how the FCA conducts interviews, common questions by topic area (Governance, SMCR, Consumer Duty, AML, Complaints, Operational Resilience), and the STAR framework for structuring confident responses.

8. Document War Room Protocol

A complete framework for organising all documents likely to be reviewed, structured across 10 categories with a readiness checklist to ensure nothing is missing.

9. Real-Time Issue Escalation Procedure

Pre-defined escalation triggers, a contact matrix template, and professional response scripts for handling difficult moments during a visit.

10. Post-Visit Action Tracking Template

Immediate post-visit actions, a structured action tracking register, and board reporting guidance to demonstrate professional follow-through.

11. Regulatory Relationship Management Guide

Principles and practical strategies for maintaining an effective, ongoing relationship with the FCA — building trust before formal engagement occurs.

12. Common FCA Focus Areas by Firm Type

Tailored guidance on what the FCA typically focuses on for different firm types, including investment firms, insurance intermediaries, mortgage brokers, payment service providers, consumer credit firms, and wealth managers.

Plus: Visit day timeline template, post-visit follow-up email template, and a complete key regulatory references appendix.

Who is this for?

This playbook is designed for Compliance Officers, Senior Managers (SMF holders), MLROs, Company Secretaries, Risk Managers, and compliance consultants working with FCA-regulated firms.

Regulatory Alignment:

Built with reference to the FCA Approach to Supervision, SUP 2 (FCA Handbook), FSMA 2000 Sections 165-167, FCA Principle 11, PRIN 2A (Consumer Duty), SYSC, and current FCA Business Plan priorities.

Format: Professional Word document (.docx), fully customisable with your firm details.

Immediate download after purchase.

Compliance Consultant | Making Compliance Work

complianceconsultant.org

Includes VAT at 20%. If you are a business and need a VAT Receipt, please ask.