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City & Financial Global is pleased to announce the latest edition of its annual Financial Services Investigations and Enforcement Summit taking place on 26 June. This long-standing and highly regarded event is the only one of its kind which enables investigations and litigation specialists in financial services to gain deep insights into the thinking behind the regulator's enforcement agenda and what is expected of regulated firms.

This year's event will be particularly topical given the FCA's announcement on 27 February of their proposals to increase transparency in their investigations, including publicly announcing the launch of an investigation and identifying the firm involved, “pour encourager les autres”. The aim is to educate other firms on what is expected and to reassure the market that the FCA is taking action when needed. But how will it affect firms subject to an investigation who are subsequently exonerated?

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الرعاة
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26. يونيو, 2024 | Cavendish Venues - 1 America Square, EC3, Crosswall, London, UK

Financial Services Investigations and Enforcement Summit 2024

الانضمام إلى الحدث

الرعاة

Sponsors

المتحدثين

Steve Smart
Steve Smart
Co-Executive Director, Enforcement & Market Oversight at the Financial Conduct Authority
Eleanor Vance
Eleanor Vance
Senior Legal Director at Goldman Sachs
Mitzi Pryce
Mitzi Pryce
Executive Director, CFCC and Risk Governance at Standard Chartered Bank
David Hamilton
David Hamilton
Partner at Howard Kennedy
Jamila Yusufali
Jamila Yusufali
SVP, Head of EMEA Conduct Office at Northern Trust
Andrew Tuson
Andrew Tuson
Partner at BCLP
Sarah Thomas
Sarah Thomas
Partner, Global Investigations at Addleshaw Goddard
Kate Ng
Kate Ng
SVP, EMEA Financial Crime Compliance at BNY Mellon
Ruby Moshenska
Ruby Moshenska
Safeguarding Consultant
Catherine Bellsham-Revell
Catherine Bellsham-Revell
Head of Legal, Regulatory, Litigation and Contentious Regulatory at Lloyds Banking Group
Alex Irvine
Alex Irvine
VP, Senior Legal Counsel at Bank of China
Saima Hanif KC
Saima Hanif KC
3VB
Fleur Eysenck
Fleur Eysenck
Legal Counsel, Litigation, Investigations and Enforcement at Barclays
Gemma Richardson
Gemma Richardson
Head of Conduct Risk and Culture at HSBC
Dr Suzanne Morsfield
Dr Suzanne Morsfield
Policy Advisor at CryptoUK
Hywel Jenkins
Hywel Jenkins
Partner, UK Head of Financial Services Regulatory at Herbert Smith Freehills
Chris Ninan
Chris Ninan
Partner at Herbert Smith Freehills
James Grant
James Grant
Associate Partner at IBM Promontory
Keith Richards
Keith Richards
Chief Executive Officer at Consumer Duty Alliance
Christopher Rich
Christopher Rich
General Counsel at Financial Markets Standards Board (FMSB)
Michael Leftley
Michael Leftley
Partner, Head of Employment & Immigration Group at Addleshaw Goddard LLP
Polly James
Polly James
Partner and Global Practice Group Leader - Financial Services Disputes and Investigations at BCLP

جدول الأعمال

08:40 - 09:15

Registration, coffee & networking

09:15 - 09:20

Morning Chair’s opening remarks

Ludgate Suite

Andrew Tuson

09:20 - 09:45

Keynote address I – The FCA’s proposed changes to the enforcement regime

Ludgate Suite

Steve Smart

09:45 - 10:35

PLEASE NOTE THAT THIS SESSION WILL BE HELD UNDER THE CHATHAM HOUSE RULE – Industry panel and audience Q&A

Ludgate Suite

10:35 - 10:55

Presentation – PRA Revised Enforcement Approach

Ludgate Suite

10:55 - 11:20

Networking & coffee break

11:20 - 12:10

Panel discussion – Regulatory intervention in cases of non- financial misconduct, the treatment of whistleblowers and the use of NDAs

Ludgate Suite

12:10 - 12:35

Presentation – Conducting internal investigations: what are the risks to the organisation and the individual?

Ludgate Suite

David Hamilton

12:35 - 13:00

PLEASE NOTE THAT THIS SESSION WILL BE HELD UNDER THE CHATHAM HOUSE RULE: Fireside chat – How can firms ensure that they are not facilitating the use of crypto for money laundering, evading sanctions or other illicit purposes?

Ludgate Suite

13:00 - 14:05

Networking & lunch break

14:05 - 14:10

Afternoon Chair’s welcome

Ludgate Suite

Sarah Thomas

14:10 - 14:35

Fireside chat – Wholesale markets focus: latest developments in market abuse and other risks

Ludgate Suite

14:35 - 15:00

Fireside chat – Retail conduct focus: recent enforcement action and the impact of the consumer duty, customer communications and vulnerable customers

Ludgate Suite

15:00 - 15:20

Networking & afternoon tea

15:20 - 15:45

Presentation – The impact of AI on the conduct of investigations. Can it help identify the key issues and expedite the investigation process?

Ludgate Suite

James Grant

15:45 - 16:30

Panel discussion – Building a culture which promotes and incentivises responsible behaviour to prevent an investigation or mitigate its impact

Ludgate Suite

16:30 - 16:40

Chair’s closing remarks & close of proceedings

Ludgate Suite

Sarah Thomas

معلومات عن الاتصال

تاريخ الحدث:
26. يونيو, 2024
موقع:
Cavendish Venues - 1 America Square, EC3, Crosswall, London, UK
منظم:
[email protected]
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