Agenda
Here's what's scheduled for the event. All times are in BST.
9:15 AM | Morning Chair’s opening remarks Gregory Brandman, Partner, Eversheds Sutherland | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9:25 AM | Keynote address: the FCA’s enforcement priorities over the coming year Therese Chambers, Joint Executive Director, Enforcement & Market Oversight, Financial Conduct Authority | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
9:55 AM | Industry panel and audience Q&A: Key areas of risk for regulated firms This session will be held under the Chatham House Rule Moderator: Panel: Fleur Eysenck, Legal Counsel, Litigation, Investigations and Enforcement, Barclays Myles McGuinness, Chief Executive Officer, Financial Markets Standards Board (FMSB) Simon Hood, Head of Litigation and Investigations, RBS | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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? Moderator: Mike Haley, Chief Executive, CIFAS Panel: Sophie Bowler, Chief Compliance Officer, Zodia Custody Phil McInerney, Detective Chief Inspector, National Cybercrime & Dark Web Coordinator, National Police Chiefs' Council (NPCC) Jess Xiao, MLRO, Gemini Phil Ariss, Director of UK Public Sector Relations, TRM Labs | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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? Sara Cody, Counsel, Linklaters | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
12:15 PM | Presentation: Conducting internal investigations: what are the risks to the organisation and the individual? Angela Hayes, Partner, DAC Beachcroft David Speakman, Partner, DAC Beachcroft | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
12:45 PM | Networking and lunch break | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
2:00 PM | Session chair’s opening remarks Angela Hayes, Partner, DAC Beachcroft | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
2:05 PM | Head to head: Wholesale markets focus: latest developments in market abuse and other risks Oliver Pegden, Partner, Clifford Chance In conversation with: Mark Compton, Former Head of EMEA Markets and Treasury Compliance, BNY Mellon | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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 Sushil Kuner, Principal Associate, UK Financial Services Regulation, Gowling WLG Siwan Jones, Chief Compliance Officer, 118 118 Money | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
2:55 PM | Presentation: Navigating a Skilled Person review. What to do if you receive an FCA Requirements Notice. How to practically set up your project. Ensuring you have sufficient evidence to hand. Common pitfalls and tips for success. Mark Spiers, Partner, Bovill | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
3:20 PM | Afternoon networking break | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
3:40 PM | Presentation: International regulatory co-operation: Dealing with cross-border regulatory investigations David Rundle, Partner, Bryan Cave Leighton Paisner | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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 Louise Gowland, SVP, Head of UK Legal Entity Compliance Oversight, Northern Trust | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
4:50 PM | Session chair’s closing remarks and close of proceedings Angela Hayes, Partner, DAC Beachcroft |