How to Deal with FCA Investigations - An Introductory Guide

Introduction

The FCA has significantly increased the number of cases under investigation in recent years and this trend is set to continue.

As a result of the FCA's Senior Managers and Certification Regime, the FCA intends to hold more individuals at firms accountable (as well as the firms themselves) where there have been regulatory failings, such as directors and others holding important roles such as Heads of Compliance and MLROs.

It can be a worrying and costly experience.

This webinar will cover what to expect and how to respond effectively. You will learn the key pressure points during the process, what powers the FCA has and how to approach the FCA interview. You will also understand the range of sanctions available to the FCA, how to challenge the FCA decision and the options available for settling a case.

What You Will Learn

This webinar will cover the following:

• When will the FCA investigate?
• FCA's investigation powers
• FCA investigation process
• FCA interviews
• Penalties and sanctions
• Challenging the FCA decision - settlement, the Regulatory Decisions Committee and the Tribunal

This webinar was recorded on 16th September 2019