Difficult Conversations with the FCA: Managing an FCA Investigation with CMS Law

This session is the fourth in The FCA Difficult Conversations series, a five-part programme designed to give practical tips and guidance on how to manage some of the more challenging situations firms may find themselves in when engaging with the FCA.  Occasionally things don’t go to plan and there’s often a host of issues that firms need to consider at the outset to put themselves in the best position to maintain control of the issue, keep a good regulatory relationship and if possible, mitigate the prospect or scale of any supervisory or enforcement action.  The aim is to provide a checklist of action points for firms that they can take away. This session will cover managing an FCA investigation from both a firm’s and an individual’s point of view.

If you would like to attend this video conference round table, please email: events@thebrokerclub.org