When the IOM FSA conducts a regulatory visit, it is essential to be prepared. This course equips Compliance Officers, MLCOs and MLROs with insight into the regulator’s 2025-27 supervisory agenda, the documentation and governance that must be in place, and the preparatory actions required ahead of a visit. With the IOM’s MONEYVAL evaluation approaching, it draws on recent thematic findings and provides a practical framework to help your team prepare with confidence.
Suitable for
Compliance officers, MLROs and MLCOs in Isle of Man TCSPs
Session content
The Isle of Man’s supervisory framework
The FSA’s 2025-27 Supervisory Agenda and TCSP Thematic work
The forthcoming September-October 2026 MONEYVAL evaluation
Responsibilities – who owns what in a smaller firm?
Core documentation essentials – the fundamentals that must be in
Client-file evidence chain: CDD, EDD, SOW, SOF, PEPs
Governance and accountability essentialsVirtual Assets and VASP Regulation
The importance of effectiveness over tick-boxes – Just how healthy is your CMP?
Preparing the team for the visit – how to respond effectively and accurately
Effective management of the visit, proactive disclosure, and handling findings
Preparation in a nutshell: a helpful checklist ahead of a regulatory visit
Q&A and Slido Quiz
