Our financial services group continues to evolve its 40-minute briefing series and has started a series of practical workshops designed to provide an interactive dialogue on topical issues relating to managing regulation and regulators.
Following the successful launch of this series with the workshop on the senior managers and certification regime last October, our latest practical workshop conducted under Chatham House rules involves lawyers and compliance professionals leading roundtable discussions that provide insight into the FCA’s and PRA’s approach to the scenarios set out below and the good and poor practices they have observed from firms:
- Managing the supervisory relationship on a business-as-usual basis across a regulatory lifecycle
- Skilled Person reviews: Common pitfalls to consider and their impact on firms
- Enforcement: Key considerations at particular stages of the investigation and enforcement process, including data preservation, privilege, information requests and interviews
Who should attend
The workshop is likely to be of particular value to compliance, legal and management of UK-authorised firms with responsibility for or involvement in the regulatory relationship. Come prepared to participate in a lively discussion and share your ideas and experiences with peers.
CPD points will be available if required. There is no charge for attending.
Given that the workshop is being conducted under Chatham House rules it will not be recorded via webcast.