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Thu 21 October 2021
12.30pm - 1.30pm
A review of developments in banking and finance law that have taken place in the last six months.
Tue 9 November 2021
8.30am - 9.30am
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.
Fri 12 November 2021
2.00pm - 3.00pm
Covid-19 has highlighted the potential benefits and pitfalls of handling employee personal data, whether that’s through tracking vaccination status or monitoring employees as their working patterns change. But pandemic protection is not the end of the story. As organisations go through fast-paced digital transformations and engage new technologies they need to be alert to the risks and rewards offered when processing their employee data in new ways. The use of personal data in AI technology is a particularly hot topic, especially in light of the proposed EU AI Regulation, and specific challenges arise when considering HR and recruitment scenarios. Equally, employers increasingly look to engage HR analytics and address staff diversity. Processing personal data in that context raises further questions. These are just some of the areas where employment and data protection law is directly relevant to business day to day, especially as many aim to implement a globalised approach to people issues whilst meeting complex international data transfer requirements.
Join our employment and data protection experts as they discuss perspectives from the UK, EU and the US, highlighting the opportunities and flagging the risks arising when handling employee personal data.
Thu 18 November 2021
12.30pm - 1.30pm
This seminar will play back and offer the A&O view on some of the major points covered and agreed in COP26, including what the implications will be for the big agreements. We will also be analysing the interconnectedness between themes and across geographies; and assessing how the legal aspects of some of the key issues will work in practice.
Thu 25 November 2021
9.00am - 10.00am
With a year to go until the ESG changes to MiFID II start to apply, our ESG experts outline what decisions and changes firms will need to grapple with in order to ensure that they can comply with the revised organisational requirements and product governance obligations.
Tue 30 November 2021
9.00am - 10.00am
Our speakers will outline the core rules of English legal privilege and assess the application of those rules in light of recent judgments of interest. This area of law is of critical practical importance, whether seeking legal advice in a transactional context, responding to requests to share privileged material with third parties, or in regulatory investigations and litigation proceedings. We will provide a succinct summary of the fundamental principles at the heart of any privilege analysis.