Type Speaker CPD Hours Level
2.5 IntermediateInformation
Accreditation Information
SRA Competency D


Recent years have seen a sea change in the FCA’s approach to investigations and enforcement. While investigations were in the past seen as an inevitable precursor to enforcement action, this no longer holds true. The FCA has made clear in its approach to enforcement that it does not pre-judge the outcome of an investigation, and the purpose of an investigation is to gain an understanding of the facts. What this means in practice is that the number of investigations being opened has soared, but so too has the number of cases being closed with no action taken.

At the same time, the implementation of the Senior Managers and Certification Regime has put individual accountability firmly at the forefront of the regulatory agenda, and there has been a rise in the number of investigations into senior individuals. Where misconduct is suspected, it is now more likely than not that the FCA will investigate individuals as well as the firm.

In this new virtual classroom seminar, you will learn about the regulatory investigation and enforcement process from end-to-end, focusing on the FCA but also considering the PRA.

The session will also cover practical considerations to help smooth the process and get the best achievable outcome. It will conclude with a review of recent enforcement trends.

What You Will Learn

This live and interactive session will cover the following:

  • Statutory powers of the regulators to investigate and take enforcement action
  • Referral for investigation
  • The investigation process, including scoping meetings, publicity, information requirements, interviews, and preliminary findings
  • Practical considerations relating to information requirements and interviews
  • Investigations into individuals - key considerations
  • Potential investigation outcomes and sanctions
  • Calculation of financial penalties
  • The settlement process, including partly contested cases
  • Mitigating the risk of enforcement and how to get a better outcome
  • Administrative proceedings before the FCA’s Regulatory Decisions Committee and the PRA’s Enforcement Decision Making Committee
  • Judicial proceedings before the Upper Tribunal and beyond
  • Recent enforcement trends

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.

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Learn Live | 06.05.2021

N/A | 9:00am - 11:30am

How to Handle FCA Investigations - Live at Your Desk

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9:00am - 11:30am

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Individual licence
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Discounts are available for multiple places. If you have 5 or more people interested in participating in this virtual learning session please email us at information@mblseminars.com for more information.

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