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Regulatory and internal investigations: A Practical Guide for FCA-regulated firms

19 Mar 2019
London, United Kingdom
Summit, Compliance, Risk, Regulation
Audit, Tax & Accountancy, Banking, Clearing Houses, Outsourcing, Consumer Credit, Energy Market Participants, Gaming, General Insurance, Investor Relations, Legal, Life Assurance, Mortgage & Home Finance, Pensions, Securities & Investment, Wealth Management

Delegate Fee GBP 645.00


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. 

Attending this summit will enable you to:

  • Gain a thorough understanding of the rapidly evolving regulatory landscape and the FCA enforcement policy for 2019
  • Hear about the SFO’s current priorities in the investigation and prosecution of serious economic crime
  • Learn about the strategic challenges and broader regulatory implications of BREXIT
  • Develop an understanding of the regulator’s approach by reviewing recent investigations and their implications
  • Become familiar with the practicalities of handling complexity in multi-regulator and multi-jurisdictional investigations
  • Ensure that your internal investigations meet best practice standards: from design to implementation
  • Effectively manage an FCA investigation:
    - Preparation, training and procedures
    - The role of in-house and external counsels
    - The function and consequences for the board
    - Minimising the damage to the firm
  • Learn how to protect your assets with insurance protection and benefit from legal technology to limit risks
  • Hear all about the digital challenges ahead: cyber resilience, data compliance, open banking, fintech, regtech and more

 Who should attend 

Not Stated
City & Financial Global Ltd
Traditions House, Pyrford Road, Pyrford, Woking Surrey, GU22 8UE.

Tel: +44 (0) 1483 479331
Contact: Paul Hooper