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The FCA Investigations and Enforcement Summit, taking place on the 1st June, is a highly regarded annual event addressing the latest developments in the FCA’s enforcement agenda. This year’s event covers a number of new issues which have an impact on the risk of an investigation or enforcement action. These include the rise in online scams, cyber frauds and crypto risks including the risk to consumers and the risk of crypto being used for money-laundering, evading sanctions or other illicit purposes. With the cost of living crisis placing pressure on consumers, the focus will also be on consumer conduct and recent enforcement action in relation to customer communications and vulnerable customers. At a wholesale level it will also cover some of the recent market abuse cases and related risks. The Summit also provides guidance on managing the practicalities of an investigation including dealing with internal investigations, the scope and remit of the FCA’s powers, preserving and analysing evidence and dealing with the international dimension in cross-border investigations.

Key themes to be covered include

  • 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 for evidence gathering, data retention, extraction and analysis?
  • International regulatory co-operation: 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?
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