Tue Feb 4 GMT (almost 2 years ago)
In your timezone (EST): Tue Feb 4 3:30am - Tue Feb 4 5:00am
Allen & Overy LLP
One Bishops Square, Spitalfields, London E1 6AD, UK
The last year has seen even further increases in the number of enforcement investigations from the UK Financial Conduct Authority (FCA). Although levels of enforcement action and financial penalties remain relatively modest, the enforcement appetite of the FCA across an increasingly broad range of firms and topics shows no sign of waning.
In this seminar on FCA enforcement themes and trends, Calum Burnett, Sarah Hitchins and Nick Gomes from Allen & Overy’s Litigation & Investigations team will:
• Analyse enforcement themes and trends that have emerged from FCA enforcement investigations and actions over the last year;
• Highlight the key areas of focus for the FCA from an enforcement perspective, including more recent areas of enforcement focus such as governance, culture, non-financial misconduct, cyber security, data breaches, operational resilience and competition law;
• Share insights into how the FCA is conducting their enforcement investigations, especially in light of the significant increase in the volume of these investigations; and
• Look ahead to the next year to predict future key areas of focus for the FCA from an enforcement perspective.
This seminar will be of interest to those in Legal, Compliance, Competition, Risk and Regulatory Relations professionals.
2020 Sponsors and Partners
• Allen & Overy
• CME Group
• Clifford Chance
• Dechert LLP
• Guotai Junan Securities
• K&L Gates
• Man Group
• Simmons & Simmons
• State Street