FCA Investigations and Enforcement Summit 2021

FCA Investigations and Enforcement Summit 2021

Speaking Engagement

A one-day virtual summit on successfully dealing with regulatory action. Stephen Pollard will participate in a panel titled “Conducting internal investigations: what are the risks to the organisation and the individual?”

Other sessions will cover:

  • The FCA’s enforcement priorities for 2021 and beyond
  • The impact of the Covid-19 pandemic on firms’ obligations to ensure appropriate systems and controls are maintained
  • Handling the investigation process: understanding the FCA’s remit, scope of investigation and powers
  • Dealing with international and cross-border regulatory investigations
  • Managing specific exposure to enforcement action in relation to money-laundering, SMCR, cyber-security and operational resilience

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