Agenda

Here's what's scheduled for the event. All times are in BST.

9:15 AM
Session chair’s opening remarks
 
9:25 AM
Keynote address: the FCA’s enforcement priorities over the coming year
 
9:55 AM
Industry panel and audience Q&A: Key areas of risk for regulated firms
  • Developments in ESG and greenwashing
  • Communications with consumers
  • Online scams and cyber attacks
  • High risk investments and crypto
  • Fines and financial redress

Panel:

Fleur Eysenck, Legal Counsel, Litigation, Investigations and Enforcement, Barclays

Myles McGuinness, Chief Executive Officer, Financial Markets Standards Board

10:45 AM
Networking break
 
11:05 AM
Panel: how can crypto firms ensure that they are not facilitating the use of crypto for money laundering, evading sanctions or other illicit purposes?

Panel:

Yannick Cherel, Chief Compliance Officer, Zodia

11:45 AM
Presentation: 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?
 
12:15 PM
Presentation: Conducting internal investigations: what are the risks to the organisation and the individual?

Angela Hayes, Partner, DAC Beachcroft

12:45 PM
Networking and lunch break
 
2:00 PM
Session chair’s opening remarks
 
2:05 PM
Head to head: Wholesale markets focus: latest developments in market abuse and other risks
 
2:30 PM
Head to head: Retail conduct focus: recent enforcement action and the impact of the new consumer duty, customer communications and vulnerable customers
 
2:55 PM
Presentation: Ensuring effective record keeping. Digital developments and the use of personal devices. What is the impact for evidence gathering, data retention, extraction and analysis?
 
3:20 PM
Afternoon networking break
 
3:40 PM
Presentation: International regulatory co-operation: Dealing with cross-border regulatory investigations
 
4:05 PM
Panel: 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?

Mitzi Pryce, Executive Director, Colleague Conduct, Standard Chartered

Irene Rey, Global Director, Culture and Conduct, TD Securities

Britt Johnston, Executive Director, Head of Conduct and Culture, Natixis

4:50 PM
Session chair’s closing remarks and close of proceedings