Responding to Regulatory Investigations and Misconduct with PWC

This session will explore trends in FCA investigation activity and developments in penalty and settlement mechanisms. Alex West at PWC will discuss how to prepare for an incident of misconduct and how to construct and effective internal investigation considering: regulatory reporting obligations, data preservation and integrity, independence, investigative interviewing and technology enabled investigation approaches. This discussion will also focus on how organisations can learn lessons from investigations and emerge stronger from incidents of misconduct.