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FCA & PRA Enforcement themes and trends

Wed 16 Oct

8:30 am to 9:30 am

Calum Burnett - Litigation & Investigations , Partner - Profile

Sarah Hitchins - Litigation & Investigations , Senior Associate - Profile

Nick Gomes - Litigation & Investigations, Associate - Profile

Synopsis: The last year has seen even further increases in the number of enforcement investigations from both the UK Financial Conduct Authority (FCA) and the UK Prudential Regulation Authority (PRA). Although levels of enforcement action and financial penalties remain relatively modest, the enforcement appetite of the FCA and the PRA across an increasingly broad range of firms and topics shows no sign of waning. In our fifth annual review of FCA and PRA enforcement themes and trends, Calum Burnett, Sarah Hitchins and Nick Gomes from our Litigation & Investigations team will: • Analyse enforcement themes and trends that have emerged from FCA and PRA enforcement investigations and actions over the last year; • Highlight the key areas of focus for the FCA and the PRA from an enforcement perspective, including more recent areas of enforcement focus such as governance, culture, non-financial misconduct, cyber security, data breaches, IT failures, fintech and competition law; • Share insights into how the FCA and the PRA are 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 and the PRA from an enforcement perspective. This seminar will be of interest to those in Legal, Compliance, Competition, Risk and Regulatory Relations professionals who work in regulated financial services firms with operations in the UK.

Location: One Bishops Square, London, E1 6AD

This seminar qualifies for 1 CPD point/s

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