Current Issues in Contentious Financial Regulation - Part 3

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Sometimes things don’t go to plan and when that happens, firms may find themselves dealing with difficult regulatory issues.

Our bitesize 20 minute breakfast briefings are packed with practical insights based on our recent collective experiences, designed to help you navigate these issues, understand the regulatory approach, engage effectively with the regulator and manage challenging situations.

In our third session on Wednesday 30 November Alison McHaffie and Elisabeth Bremner will discuss providing information to the Regulators, understanding your firm’s and senior managers’ obligations, issues of legal privilege and how to achieve your objectives.

Webinar series

• 2 November: Simon Morris and Elisabeth Bremner will focus on the FCA’s new interventionist supervisory style and what this means for firms. The FCA is now intervening more often and more quickly when it thinks that there is a risk of harm. This session looks at the new policy, how it is working in practice, and how firms can ensure they meet the regulatory expectations and protect against it happening to them.
• 16 November: Simon Morris and Alison McHaffie will consider how the regulators take decisions, the practicalities of the process, and how to engage with the regulators to achieve the right outcome.
• 30 November: Alison McHaffie and Elisabeth Bremner will discuss providing information to the Regulators, understanding your firm’s and senior managers’ obligations, issues of legal privilege and how to achieve your objectives.
• 14 December: Alison McHaffie and Gillian MacLellan (of our employment team) will consider how firms deal with conduct issues under SMCR from a regulatory and employment law perspective, the practical challenges and how to meet your obligations and the regulatory expectations.