A Live Guide to Regulatory & Disciplinary Proceedings in the Financial Services Sector

Introduction

This new virtual classroom seminar will cover the regulatory obligations on individuals within the financial services sector, the approach of the FCA when enforcing breaches of such obligations and how to conduct an internal disciplinary hearing whilst an FCA investigation is ongoing.

If you are a financial services lawyer, employment lawyer or working in-house for a financial institution then this session is for you.

What You Will Learn

This live and interactive course will cover the following:

• What are the current areas of focus for FCA enforcement?
• What obligations are imposed on individuals by the senior managers’ regime?
• Enforcement trends and themes
• Individual accountability and the senior managers’ regime
• Recent case law

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.