FCA Enforcement Themes and Trends Seminar


The last year has seen even further increases in the number of enforcement investigations from the UK Financial Conduct Authority (FCA). Although levels of enforcement action and financial penalties remain relatively modest, the enforcement appetite of the FCA across an increasingly broad range of firms and topics shows no sign of waning.

In this seminar on FCA enforcement themes and trends, Calum BurnettSarah Hitchins and Nick Gomes from Allen & Overy’s Litigation & Investigations team will:

  • Analyse enforcement themes and trends that have emerged from FCA enforcement investigations and actions over the last year;
  • Highlight the key areas of focus for the FCA from an enforcement perspective, including more recent areas of enforcement focus such as governance, culture, non-financial misconduct, cyber security, data breaches, operational resilience and competition law;
  • Share insights into how the FCA is conducting their enforcement investigations, especially in light of the significant increase in the volume of these investigations; and
  • Look ahead to the next year to predict future key areas of focus for the FCA from an enforcement perspective.

The slides used during the event are avaliable for download here.

This seminar will be of interest to those in Legal, Compliance, Competition, Risk and Regulatory Relations professionals.

This event has now reached capcity. If you would like to add yourself to the waiting list, please email events@aima.org.

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