Summary

City & Financial Global is pleased to announce the latest edition of its annual Financial Services Investigations and Enforcement Summit taking place on 26 June. This long-standing and highly regarded event is the only one of its kind which enables investigations and litigation specialists in financial services to gain deep insights into the thinking behind the regulator's enforcement agenda and what is expected of regulated firms.

This year's event will be particularly topical given the FCA's announcement on 27 February of their proposals to increase transparency in their investigations, including publicly announcing the launch of an investigation and identifying the firm involved, “pour encourager les autres”.  The aim is to educate other firms on what is expected and to reassure the market that the FCA is taking action when needed. But how will it affect firms subject to an investigation who are subsequently exonerated?

We are delighted that Therese Chambers, Co-Executive Director, Enforcement and Market Oversight, FCA has agreed to join us as a keynote speaker to explain the rationale and how it will work in practice.

Other new issues to be addressed at this year’s event include:

  • The PRA's new enforcement regime  
  • Regulatory intervention in cases of non-financial misconduct, the treatment of whistleblowers and the use of NDAs
  • The impact of AI on the conduct of investigations. can it help identify the key issues and expedite the investigation process?

A full list of topics to be covered on the programme can be found below.