FCA Investigations and Enforcement Summit 2021
- 5.18.2021 | 9:00 AM - 5:00 PM
A one-day virtual summit on successfully dealing with regulatory action. Stephen Pollard will participate in a panel titled “Conducting internal investigations: what are the risks to the organisation and the individual?”
Other sessions will cover:
- The FCA’s enforcement priorities for 2021 and beyond
- The impact of the Covid-19 pandemic on firms’ obligations to ensure appropriate systems and controls are maintained
- Handling the investigation process: understanding the FCA’s remit, scope of investigation and powers
- Dealing with international and cross-border regulatory investigations
- Managing specific exposure to enforcement action in relation to money-laundering, SMCR, cyber-security and operational resilience
