Agenda

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

8:40 AM
Registration, coffee & networking
 
9:15 AM
Chair’s opening remarks

Andrew Tuson, Partner, BCLP

9:20 AM
Keynote Address I: The FCA’s proposed changes to the enforcement regime

Steve Smart, Co-Executive Director, Enforcement & Market Oversight, Financial Conduct Authority

9:45 AM
Industry panel and audience Q&A: The impact of the new enforcement landscape on regulated firms: is greater transparency and swifter decision making a benefit? What are the implications for firms subject to an investigation?

PLEASE NOTE THAT THIS SESSION WILL BE HELD UNDER THE CHATHAM HOUSE RULE

Moderator

Andrew Tuson, Partner, BCLP 

Panellists

Eleanor Vance, Senior Legal Director, Goldman Sachs

Alex Irvine, VP, Senior Legal Counsel, Bank of China

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

10:35 AM
Presentation: PRA Revised Enforcement Approach

Chris Ninan, Partner, Herbert Smith Freehills

Hywel Jenkins, Partner, UK Head of Financial Services Regulatory Herbert Smith Freehills

10:55 AM
Networking & coffee break
 
11:20 AM
Panel: Regulatory intervention in cases of non- financial misconduct, the treatment of whistleblowers and the use of NDAs

Moderator:

Sarah Thomas, Partner, Global Investigations, Addleshaw Goddard

Panel:

Catherine Bellsham-Revell, Head of Legal, Regulatory, Litigation and Contentious Regulatory, Lloyds Banking Group

Ruby Moshenska, Safeguarding Consultant

Saima Hanif KC, 3VB

12:10 PM
Presentation: Conducting internal investigations: what are the risks to the organisation and the individual?

David Hamilton, Partner, Howard Kennedy

12:35 PM
Fireside chat: How can firms ensure that they are not facilitating the use of crypto for money laundering, evading sanctions or other illicit purposes?

PLEASE NOTE THAT THIS SESSION WILL BE HELD UNDER THE CHATHAM HOUSE RULE

Host:

Dr Suzanne Morsfield, Policy Advisor, CryptoUK

In conversation with:

Kate Ng, SVP, EMEA Financial Crime Compliance, BNY Mellon

1:10 PM
Networking & lunch break
 
2:05 PM
Afternoon Chair’s welcome

Sarah Thomas, Partner, Global Investigations, Addleshaw Goddard LLP

2:10 PM
Fireside chat: Wholesale markets focus: latest developments in market abuse and other risks

Host:

Polly James, Partner and Global Practice Group Leader - Financial Services Disputes and Investigations, BCLP

In conversation with

Christopher Rich, General Counsel, Financial Markets Standards Board (FMSB)

2:35 PM
Fireside chat: Retail conduct focus: recent enforcement action and the impact of the consumer duty, customer communications and vulnerable customers

Host:

David Hamilton, Partner, Howard Kennedy

In conversation with

Keith Richards, Chief Executive Officer, Consumer Duty Alliance

3:00 PM
Networking & afternoon tea
 
3:20 PM
Presentation: The impact of AI on the conduct of investigations. Can it help identify the key issues and expedite the investigation process?

James Grant, Associate Partner, IBM Promontory 

3:45 PM
Panel: Building a culture which promotes and incentivises responsible behaviour to prevent an investigation or mitigate its impact

Moderator

Michael Leftley, Partner, Head of Employment & Immigration Group, Addleshaw Goddard LLP

Panellists

Mitzi Pryce, Executive Director, CFCC and Risk Governance, Standard Chartered Bank

Gemma Richardson, Head of Conduct Risk and Culture, HSBC 

Jamila Yusufali, SVP, Head of EMEA Conduct Office, Northern Trust

4:30 PM
Chair’s closing remarks

Sarah Thomas, Partner, Global Investigations, Addleshaw Goddard LLP

4:40 PM
Close