FSA Enforcement & Discipline: What your Business Needs to Know

27 September 2012

Squire Sanders, Rutland House, 148 Edmund Street, Birmingham, B3 2JR

“The job of enforcement is to help the FSA change behaviour by making it clear that there are real and meaningful consequences for those firms or individuals who don’t play by the rules” - Tracey McDermott Acting Director of the FSA’s Enforcement and Financial Crime Division

The Squire Sanders Financial Services Group invites you to attend a seminar where we will discuss FSA enforcement policy and procedure, what it looks like now, how things might look when the Financial Conduct Authority (FCA) takes over enforcement work in 2013 and how all of that affects your business.

Andrew Long, Acting Chairman of the Regulatory Decisions Committee (RDC), will also provide a key note address to explain the workings of the RDC and consider the impact of recent and future changes to regulatory decision making. Recent RDC decisions have included substantial fines against both firms and individuals.

Drinks and canapés will be served after the seminar.

This seminar will also count towards CPD points.

Our Upcoming Events