Our extended 40 minute briefing on 5 February 2020 will be a practical workshop involving 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; and
- Enforcement: Key considerations at particular stages of the investigation and enforcement process, including data preservation, privilege, information requests and interviews.
Further information on the briefing (including registration) can be found here.