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.
- 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.