Financial Crime Enforcement and Supervision, hosted by ILAG
With the increased challenge of the pandemic and resultant changes in workplace and customer behaviours, it is even more vital for firms to have productive interactions with regulators, and over the past eighteen months this has meant adapting to different types of regulatory contact.
Michael Ruck, partner at the firm, will be presenting the session in a follow up on his previous session in December 2020 on regulatory interaction with both PRA and FCA. He will share some top tips on how to deal with regulators, considering both enforcement and supervision aspects.
Michael will cover:
- Proactive pre-planning for firms
- Dealing with Supervisory and Enforcement meetings or visits
- Engagement after a visit
- Lessons learned
- Dealing with unannounced visits
During the webinar, attendees will have opportunities to ask questions, through the chat function.