City & Financial Global is delighted to present the latest edition of its FCA Investigations and Enforcement Summit, the leading event exclusively focused on enforcement in the UK financial services sector. This highly respected forum provides a unique opportunity for investigations and litigation specialists to gain critical insights into the FCA’s evolving enforcement strategy and expectations of regulated firms.

This year’s summit is especially timely following the FCA’s release of its revised Enforcement Guide on 3 June. The new Guide aims to improve clarity around when the FCA will publicise investigations including: 

• Proactive announcements and naming of individuals or firms under investigation for unauthorised or criminal activity including unregulated financial promotions.
• Reactive confirmations of investigations where matters are already in the public domain.
• Publication of anonymised case details to educate the wider industry on enforcement priorities.

The agenda will also cover a range of emerging and high-impact issues:

• Regulatory focus on crypto assets – latest proposals and enforcement risks
• Artificial Intelligence in investigations – how AI is being used to pinpoint issues and accelerate outcomes
• The regulatory repercussions of non-financial misconduct, the treatment of whistleblowers and the use of NDAs
• Cross-border investigations – cooperation and coordination among international regulators
• Consumer Duty enforcement – with a special look at the Buy Now Pay Later (BNPL) sector