Guide tag
Framework
How to Structure a Wind-Down Plan That Satisfies FCA Solvent Exit Expectations
This guide explains how to build a Wind-Down Plan that meets FCA solvent exit expectations under WDPG and the new solvent exit rules, without inadvertently signalling going concern doubt to auditors or counterparties. Readers will learn how to sequence triggers, resources and disclosures so the plan is credible to supervisors but ring-fenced from financial reporting consequences.
Structuring a Consumer Duty Fair Value Assessment That Withstands FCA Review
This guide sets out how to build an annual fair value assessment robust enough to withstand FCA product-level scrutiny without inviting price intervention. It equips senior leaders to make the harder judgement calls on benchmarking, cohort analysis, and evidencing outcomes.
How to Structure a Reverse Stress Testing Narrative for PRA Board Attestation
This guide sets out how to build a Reverse Stress Testing (RST) narrative that credibly supports board attestation under PRA expectations. After reading, you will know how to sequence the analysis, frame the point of non-viability, and present findings in a way that survives supervisory challenge.
How to Structure a Section 165 Response That Limits Scope Creep
This guide sets out how to respond to an FCA Section 165 information request in a way that satisfies the statutory duty without widening the supervisory perimeter. After reading, you will know how to scope, sequence, and caveat your response to close down inference-driven follow-ups.
How to Structure a Threshold Conditions Self-Assessment That Pre-empts FCA Withdrawal Risk
This guide sets out how boards and senior managers should structure a Threshold Conditions self-assessment that identifies authorisation withdrawal risk before the FCA does. After reading, you will know how to sequence the assessment, where the real judgement calls sit, and what evidence a supervisor expects to see.
How to Design a Board Risk Appetite Statement That Actually Works
This guide sets out how to build a risk appetite statement that satisfies PRA supervisors while giving non-executive directors something they can genuinely use in the boardroom. Readers will finish with a clear method for calibrating metrics, structuring the document, and avoiding the drafting mistakes that trigger supervisory challenge.
Stakeholder Risk Management for FCA Regulated Firms: A Practical Guide
This guide sets out how senior leaders at FCA regulated firms should identify, assess, and manage stakeholder risk in a way that stands up to supervisory scrutiny. After reading it, you will know how to structure a stakeholder risk framework that aligns with Consumer Duty, SM&CR, and Threshold Conditions, and where firms typically fail.
Positioning a Consumer Duty Review for Board and Regulator Audiences
This guide sets out how to structure a Consumer Duty implementation review so it works for both your board and the FCA without compromising either audience. You will finish with a clear approach to framing, evidence, and sequencing that avoids the common trap of producing two conflicting narratives.
How to Build a Regulatory Narrative for a Change in Control Application at a UK Bank or Insurer
This guide sets out how to construct a coherent regulatory narrative for a Section 178 change in control application to the PRA and FCA. After reading it, you will understand how to frame the acquirer story, sequence supervisory engagement, and pre-empt the objections that stall or block approval.
How to Design a Board-Level Climate Risk Governance Framework That Withstands Supervisory Scrutiny
This guide sets out how to build a board-level climate risk governance framework that holds up under PRA, FCA, ECB or equivalent supervisory review. After reading, you will know where most frameworks fail on inspection and how to structure yours so it does not.
Building a Cross-Jurisdictional Governance Case for Operational Resilience
This guide sets out how to construct a governance case for an operational resilience framework that holds up across multiple supervisory regimes at a global bank. After reading, you will know how to sequence the work, resolve regime conflicts, and present a coherent story to your board and lead regulators.
Stakeholder Risk Management for FCA Regulated Firms: A Practical Guide
This guide sets out how senior leaders at FCA regulated firms should identify, assess and manage stakeholder risk in a way that stands up to supervisory scrutiny. After reading, you will know how to structure a stakeholder risk framework that connects to Consumer Duty, SM&CR accountability and board-level reporting.