Handling a regulatory crisis


The guide looks at each stage from ‘What should we do when we spot a problem’ and ‘What should we tell the regulator’ through to ‘Should we settle’, ‘Should we talk to the Regulatory Decisions Committee’ and ‘What penalties might the regulator impose’.

It also contains a very useful flow chart showing each stage in the investigation and enforcement process including Skilled Person Report, referral from Supervision to Enforcement, the Preliminary Investigation Report (PIR), Regulatory Decisions Committee (RDC), Warning Notice, Settlement, Decision Notice and so on. The flow chart contains links to the explanatory text in the guide.

Click 'download' or click here to access the guide.