FCA Enforcement Themes and Trends
Please join this breakfast seminar on Friday 25 January 2019 for an overview of UK Financial Conduct Authority (FCA) enforcement themes and trends.
The FCA has fulfilled its promise of opening a significant number of new enforcement investigations over the past year into both firms and individuals, meaning that a number of firms are seeing a significant increase in the amount of interactions they are having with FCA Enforcement. In particular, the FCA is increasingly turning its enforcement attention to non-banks, including fund managers.
- Analyse enforcement themes and trends that have emerged from recent FCA enforcement investigations and actions and how these may impact AIMA members;
- Consider what are the key areas the FCA is currently focusing on from an enforcement perspective, as well as other areas that the FCA may turn their attention to over the coming months which are of particular relevance to the alternative investment management industry;
- Share insights into how the FCA is now conducting enforcement investigations, especially in light of the significant increase in the number of investigations it is conducting;
- Look ahead to the next year, to predict key areas of focus for the FCA from an enforcement perspective and what key risks the alternative investment management industry should be alive to.
Please note this event is open to managers only.
Please find the presentation slides below.
FCA Enforcement Themes and Trends.pdf