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

Financial Services Investigations and Enforcement Summit 2024

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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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?

1

Day

22

Speakers

3

Sponsors

13

Sessions

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

Financial Services Investigations and Enforcement Summit 2024

Join event

Sponsors

Sponsors

Speakers

Steve Smart

Co-Executive Director, Enforcement & Market Oversight at the Financial Conduct Authority

Eleanor Vance

Senior Legal Director at Goldman Sachs

Mitzi Pryce

Executive Director, CFCC and Risk Governance at Standard Chartered Bank

David Hamilton

Partner at Howard Kennedy

Jamila Yusufali

Jamila Yusufali

SVP, Head of EMEA Conduct Office at Northern Trust

Andrew Tuson

Partner at BCLP

Sarah Thomas

Partner, Global Investigations at Addleshaw Goddard

Kate Ng

SVP, EMEA Financial Crime Compliance at BNY Mellon

Ruby Moshenska

Safeguarding Consultant

Catherine Bellsham-Revell

Catherine Bellsham-Revell

Head of Legal, Regulatory, Litigation and Contentious Regulatory at Lloyds Banking Group

Alex Irvine

VP, Senior Legal Counsel at Bank of China

Saima Hanif KC

3VB

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

Partner, UK Head of Financial Services Regulatory at Herbert Smith Freehills

Chris Ninan

Partner at Herbert Smith Freehills

James Grant

Associate Partner at IBM Promontory

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

Partner and Global Practice Group Leader - Financial Services Disputes and Investigations at BCLP

Program

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

Event information

Contact information

Event date:

26. June, 2024

Event location:

Cavendish Venues - 1 America Square, EC3, Crosswall, London, UK

Organizer:

[email protected]

Contact organizer

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