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City & Financial Global: The FCA Investigations and Enforcement Summit 2023

June 1, 2023 @ 9:15 am - 4:50 pm

Thursday 1st June 2023 09:15 AM – 04:50 PM, at America Square Conference Centre.

 

The Broker Club is pleased to announce a Media Partnership with City & Financial Global for its upcoming FCA Investigations and Enforcement Summit, taking place on Thursday 1st June 2023.

 

The Summit is a highly regarded annual event addressing the latest developments in the FCA’s enforcement agenda. This year’s event covers a number of new issues which have an impact on the risk of an investigation or enforcement action. These include the rise in online scams, cyber frauds, and crypto risks including the risk to consumers and the risk of crypto being used for money laundering, evading sanctions, or other illicit purposes. With the cost of living crisis placing pressure on consumers, the focus will also be on consumer conduct and recent enforcement action in relation to customer communications and vulnerable customers. At a wholesale level, it will also cover some of the recent market abuse cases and related risks. The Summit also provides guidance on managing the practicalities of an investigation including dealing with internal investigations, the scope and remit of the FCA’s powers, preserving and analysing evidence, and dealing with the international dimension in cross-border investigations.

 

KEY THEMES TO BE COVERED INCLUDE:

  • What are the key areas of risk for regulated firms? Developments in ESG and greenwashing; communications with consumers; online scams and cyber-attacks; fines and financial redress
  • The crypto crisis: how can firms ensure that they are not facilitating the use of crypto for money laundering, evading sanctions, or other illicit purposes?
  • Retail conduct focus: recent enforcement action and the impact of the new consumer duty, customer communications, and vulnerable customers
  • Wholesale markets focus: latest developments in market abuse and other risks
  • Conducting internal investigations: what are the risks to the organisation and the individual?
  • Early intervention by the regulator. Has it accelerated the rate at which issues are resolved? How does it differ from standard investigations and how should firms respond?
  • Ensuring effective record keeping. Digital developments and the use of personal devices. What is the impact on evidence gathering, data retention, extraction, and analysis?
  • International regulatory cooperation: Dealing with cross-border regulatory investigations
  • Setting the tone at the top, middle, and bottom: how can firms build a culture which promotes responsible behaviour to prevent an investigation or mitigate its impact?

 

As a Media Partner, members of The Broker Club qualify for an exclusive 20% discount to attend the Summit. To view further details about the event, please visit City and Financial Global’s website here.

 

Details

Date:
June 1, 2023
Time:
9:15 am - 4:50 pm
Event Tags:
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Organiser

City & Financial Global
Phone:
+441932340115
Email:
info@cityandfinancial.com
Website:
View Organiser Website

Venue

America Square Conference Centre
1 America Square, 17 Crosswall
London, EC3N 2LB United Kingdom
+ Google Map
Phone:
+442077067700
Website:
View Venue Website

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