Loading Events

Culture lies at the heart of strengthening your approach to Consumer Duty, Financial Crime, DEI and Vulnerable customers. Yet, despite the frequent reminders from the FCA, wealth management firms still need to work on demonstrating to the regulator how they can positively shift the culture needle.

In this FRE 60-minute webinar, our experts unpack:

Why Culture remains central to the FCA’s supervisory model
How to reset and refocus your approach to Culture to meet heightened FCA expectations
How leading firms cut through the complexity to stay ahead of emerging Culture and Conduct risks

Angela Hayes
Partner
DAC Beachcroft LLP

More about Angela Hayes

Angela is a financial services regulation expert with a main focus on investigations and enforcement defence but also with an advisory practice.

Angela has more than 20 years’ experience advising clients across the spectrum of financial services –  banks (investment and retail), asset managers and investment funds, securities brokers, wealth advisers, insurers, and listed companies.  Angela is well known for her particular expertise regarding market abuse, financial crime and regulatory issues impacting the asset management sector.

Angela’s career has included 12 years as a partner in the London offices of leading US law firms.

Angela has led many major regulatory investigation and defence projects, including coordinating cross-border multi-jurisdictional matters, involving the PRA, FCA, SFO, DOJ, SEC, NY DFS and other regulators in Europe and around the globe.  These cases have covered a wide range of issues but include complex market manipulation, investment and trading errors, transaction reporting, fraud and allegations of bribery and corruption.  Angela has also assisted many clients with internal investigations and dialogue with regulators, where the facts found have enabled clients to avoid regulatory enforcement action.  Most recently this has included issues raised by whistleblowers and culture/conduct issues.

Angela’s advisory practice includes conduct risk mitigation,  corporate governance and the senior manager and certification regime, advising on the launch of new products and new businesses (including obtaining authorisation for a new bank and a new life assurance company) and transactional support, including the acquisition of wealth and asset management businesses and Part VII transfers of insurance business.

David Sims
Partner and Head of London Employment
DAC Beachcroft LLP

More about David Sims

 

David joined DAC Beachcroft in 2017 from Clifford Chance. He has a broad employment practice, including investigations, employment tribunal litigation and employment regulatory advice. His clients include global banks, insurers, brokers, private equity firms and their portfolio companies, a global social media firm, a listed housebuilder and two US law firms.

Chambers says, “David Sims stands out for his high-quality representation of clients in the financial services market” and “David is a standout practitioner. He is technically excellent, always responsive and gives commercial, strategic advice every time.”

 

Booking and Registration Information

If you are a PIMFA member please ensure you have logged in to register for this webinar, podcast or event and receive your discount. If you are unsure of your login details you can request a new password via our website or email us to reset it for you. If you are unsure whether you belong to a PIMFA member firm please register for an account or email us and we will confirm this for you. You can still register for our webinars, events and podcasts as a non-member (charges apply in some instances). Requests may take up to 48 hours to process.

Tickets

Unlimited available
PLLT: PIMFA Webinar: Avoiding A Culture of Complacency (FAM)Free

Please fill in all required fields

Unlimited available
PLLT: PIMFA Webinar: Avoiding A Culture of Complacency (NM)Free

Please fill in all required fields

Details

Date:
24th June
Time:
11:00 - 12:00
Cost:
Free
Event Categories:
,

Other

Email Address:
learning@pimfa.co.uk