Regulatory visit preparation and mock interviews for a fintech robo adviser

NJ Risk and Regulatory Consulting (and Metidian) supported TCF Consulting to help an innovative FinTech firm prepare for an FCA regulatory visit. We briefed the client on what to expect and conducted a series of mock regulatory interviews with the senior management. Finally, we held a group interview session which included the CEO, and provided feedback and recommendations. It’s vital when conducting mock regulatory visit interviews not to ‘pull punches’ and if anything to make the mock interview tougher than the actual regulatory interview.

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