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Virtual Seminar - FCA and PRA enforcement themes and trends

Wed 21 Oct

8:30 am to 9:30 am

Calum Burnett - Litigation & Investigations , Partner - Profile

Sarah Hitchins - Litigation & Investigations , Partner - Profile

Hayley Humphries - Litigation & Investigations, Associate - Profile

Stacey McEvoy - Litigation & Investigations, Senior Associate - Profile

Synopsis: Although Covid-19 has dominated the agendas of both the UK Financial Conduct Authority (FCA) and the UK Prudential Regulation Authority (PRA) over the last few months, both regulators continue to progress their enforcement agendas. Although levels of enforcement action and financial penalties remain relatively modest, the enforcement appetite of the FCA and the PRA across a broad range of firms and topics shows no sign of waning. In our sixth annual review of FCA and PRA enforcement themes and trends, Calum Burnett, Sarah Hitchins, Stacey McEvoy and Hayley Humphries 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 areas of particular enforcement focus such as governance, culture, individual accountability, non-financial misconduct, treating customers fairly, market abuse, financial crime, cyber security, data breaches and operational resilience; • Share insights into how the FCA and the PRA are conducting their enforcement investigations, especially in light of the FCA's sustained high volume of investigations and the impact of Covid-19 on current enforcement 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, including likely areas of enforcement focus relating to Covid-19. 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.

This seminar qualifies for 1 CPD point/s

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