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At PIMFA’s recent V Fest, Megan Butler, the FCA’s Executive Director of Supervision, reminded PIMFA member firms of the regulator’s expectation to act with integrity, prevent financial crime and market abuse. But what does that mean in practice? In this FREE one hour, interactive webinar with Julie Pardy, Director of Regulation & Market Engagement, Worksmart, we role-play and discuss several ‘what if’ conduct scenarios to help PIMFA member firms avoid conduct risk breaches now and in the future.
What will be discussed?
In particular, we will closely look at:
• Recent FCA fines, ‘Dear CEO letters’ and speeches from the regulator
• How decisions, judgments and actions senior managers take through this crisis can withstand scrutiny after the crisis
• The tell-tail signs of employee misconduct
• Methods and approaches to reduce misconduct.
Got a Question?
There will, as usual, be an opportunity to ask live questions during the webinar.