Virtual seminar - FCA and PRA Enforcement themes and trends

Tue 09 Nov

8:30 am to 9:30 am (UK time)

Calum Burnett - Litigation & Investigations, London, Partner - Profile

Sarah Hitchins - Litigation & Investigations, London, Partner - Profile

Nikki Johnstone - Financial Services Regulatory, London, Partner - Profile

David McMenamin - Litigation & Investigations, London, Associate - Profile

Synopsis: As the dust starts to settle on the Covid-19 pandemic, both the Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) are resuming their enforcement agendas. With a new CEO at the helm of the FCA, the appetite for and breadth of enforcement appears to be increasing. Whilst some of the pre-pandemic priority areas remain, the regulators are also sharpening their attention on new issues that have crept up the agenda as a result of consumer and firm behaviour during the pandemic. In our seventh annual review of FCA and PRA enforcement themes and trends, Calum Burnett, Sarah Hitchins, Nikki Johnstone & David McMenamin 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 and culture, individual accountability, non-financial misconduct, use of data and artificial intelligence, the crypto-horizon, customer treatment, market abuse, financial crime, 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 the new CEO’s agenda; 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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