Responding to Regulatory investigations in the Financial Services Sector

INVESTIGATIONS INSIDER SERIES
Investigations can be triggered by a variety of factors: abuse, sexual harassment, bribery, fraud, theft, regulatory contravention to name but a few. What these factors have in common is that they are unexpected, often extremely disruptive, complex and stressful, with the potential to damage individual and corporate reputations.

The series will be hosted by senior members from our multi-disciplinary Investigations team including Financial Sector specialists, drawn from DACB’s Employment, Criminal, Regulatory, Litigation, Data and Technology practices. They will share their personal experience of dealing with a variety of scenarios, provide fresh insights and give practical advice on how to approach such situations to ensure that the ‘extraordinary’ becomes manageable in order to restore control.

Each session will run from 8:30 to 9:45am on the dates below.

The sessions are aimed at GCs, HR leads and decision makers so please do forward on this invitation to any senior colleague you think would find these sessions of interest. Each occasion is both stand-alone, but also a taster to more detailed scenario planning sessions that we can conduct for your teams.

Responding to Regulatory investigations in the Financial Services Sector: the dynamics of a Regulatory investigation; strategic considerations, focusing on valuable lessons learned in the recent Upper Tribunal case of Stuart Forsyth v FCA and PRA from DACB’s successful defence teams.
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Managing a Regulatory raid: advance planning for the worst; short and medium term actions, including dealing with the raiders as they arrive at 7.30am on a Friday, engagement with the board, colleagues and the wider stakeholder group.
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Employee embezzlement: from the initial accusation of theft, to dealing with the individual, third parties and the police. A consideration of the immediate and longer term actions to effectively investigate and report issues of fraud, bribery and corruption, recover misappropriated assets and secure criminal and civil sanctions of the perpetrators.
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Cyber attack: a step by step guide to ensure damage limitation, from the instant that the data is exposed to engagement with the ICO, the Markets, other external and internal communication and future prevention.