Virtual seminar - FCA & PRA Enforcement themes and trends

Wed 12 Oct

9:00 am to 10:00 am (UK time)

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

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

Arnondo Chakrabarti - Litigation & Investigations, Allen & Overy London, Partner - Profile

Marc Teasdale - A&O Consulting, Managing Director - Profile

Oliver Palmer - Litigation & Investigations, Allen & Overy London, Associate - Profile

Synopsis: Post-pandemic, the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have enthusiastically resumed their enforcement agendas. We saw an unprecedented flurry of enforcement actions announced at the end of 2021 and there appears to be a healthy pipeline of actions yet to be announced. In our eighth annual review of FCA and PRA enforcement themes and trends, Calum Burnett, Sarah Hitchins, Arnondo Chakrabarti, Marc Teasdale and Oliver Palmer 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 focus such as governance and culture, individual accountability, the crypto-horizon, customer treatment, market abuse, financial crime, ESG and operational resilience; • share insights into how the FCA and the PRA are conducting their enforcement investigations, using supervisory tools to intervene when they identify potential harm and “measuring success”; 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. 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

If you have any queries please email seminarregistration@allenovery.com.


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