AIMA Fund Manager Briefing: UK Enforcement Update

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During this session, we will provide an update on regulatory enforcement trends in UK financial services covering current areas of focus such as market abuse, financial crime, conflicts of interest, and ESG, as well as reviewing five years of enforcement activity under SMCR.

Speakers:

Dorian Drew, Partner, Clifford Chance
Dorian is a solicitor-advocate and former barrister, specialising in investigations and regulatory enforcement action, as well as financial services litigation. Dorian has represented clients during investigations and disciplinary action brought by domestic and international regulators, including the FSA, SFO, various exchanges, SEC and US DOJ. Dorian has spent nine months on secondment in the Enforcement Division of the FSA.

Oliver Pegden, Partner, Clifford Chance
Oliver is a partner specialising in regulatory enforcement and internal investigations, with a particular focus on FCA/PRA enforcement investigations for financial institutions, listed companies and individuals. He is ranked as a “Next Generation Partner” by Legal 500 and “Up and Coming” by Chambers and Partners in relation to contentious regulatory financial services matters.  In 2014-2015 Oliver was seconded to the Enforcement Division of the FCA where he was a member of the Enforcement legal team advising investigators on the full range of legal matters relevant to FCA enforcement.

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