Regulatory and Internal Investigations 2019 | 19 March 2019 | london

The threat of regulatory enforcement is at the top of the compliance agendas of all financial institutions. The recent and ongoing probes and investigations by national and global regulators, together with a noticeable escalation in the number of claims by disgruntled clients, are resulting in an unprecedentedly high stream of litigations and massive regulatory fines and penalties.

In addition to the prospect of large fines and penalties, firms and individuals increasingly face the possibility of the withdrawal of permissions, prohibitions and suspension orders. The FCA has also made it clear that it will use criminal sanctions to deal with serious instances of market misconduct such as insider dealing, misleading statements and market manipulation. And, of course, the Serious Fraud Office, has a very significant role in the prosecution of economic crime.

As a result, firms need to ensure that any internal investigations into suspected regulatory breaches that they undertake meet best practice standards; that they implement appropriate remediation programmes, if required; that they know how to respond to a Section 166 request; and that they know how to effectively manage an FCA regulatory investigation in order to maximise the likelihood of a positive outcome. The latter includes the conduct of formal FCA interviews, responding to FCA warning and decision notices, representation before the RDA and Upper Tribunal and settlement negotiations. Managing investigations also requires consideration of a wide range of issues, including HR, data protection, document management and evidence gathering, legal privilege and forensic IT issues.

With a keynote speech by Matthew Wagstaff, Head of Bribery and Corruption, The Serious Fraud Office, The Regulatory and Internal Investigations Forum will help you identify the best strategies to manage regulatory and internal investigations and will help you understand both the technical and legal requirements of multiple jurisdictions, as well as the practical concerns and investigative methods used by government regulators and criminal prosecutors

2019 Speakers:

Therese Chambers
Director of Retail Investigations, FCA

Matthew Wagstaff
Head of Bribery & Corruption, Serious Fraud Office

Gregory Brandman
Partner, Eversheds Sutherland

Lydia Buttinger
COO Risk Governance

laria Filippi
Director, Legal Counsel EMEA

Arwen Handley
Head of Governance, Reporting and Whistleblowing Management, Group Investigations

Russell Hornsby-Clifton
Head of UK Compliance, EFG Private Bank

Hywel Jenkins
Partner, Herbert Smith Freehills LLP

Jamilia Parry
Managing Director, Forensic & Litigation, FTI Consulting

Andrew Procter
Partner, Herbert Smith Freehills LLP

Gayle Sparkes
EMEA Head of Culture, State Street Bank