On behalf of the Financial Services Lawyers Association (FSLA) and Brown Rudnick, we invite you to attend a FSLA Academy series of training sessions on “FCA enforcement: misconduct and lack of fitness and propriety”.
The series will provide a detailed but practical guide to the FCA’s powers to investigate and impose sanctions on individuals in relation to misconduct and lack of fitness and propriety. It will deal with issues that may be faced by firms and individuals following the identification of a potentially significant regulatory issue all the way through to an FCA decision to impose a sanction and the options then available.
The series will consist of three sessions:
- Misconduct and lack of fitness and propriety – the scope and meaning of the terms and the circumstances in which the FCA can take action in relation to them
- The pre-FCA investigation stage – how a firm should go about investigating a potentially significant regulatory issue and the consequences of that for an individual
- The FCA enforcement process – an overview covering the opening of an investigation through to the conclusion of any enforcement proceedings
The sessions will be led by Ian Weinstein and Chloë Kealey of Brown Rudnick’s Contentious Financial Services Team and build upon the contents of their recently published book on the subject. Ian and Chloë will be joined by a different barrister or in-house practitioner for each session.
The series is open to all but specifically targeted at practitioners with fewer than seven years dedicated contentious regulatory experience. It is therefore also suitable for those practitioners who are more than seven years PQE / call but who do not exclusively focus on contentious regulatory work.
Each session will be followed by drinks and canapés, providing an opportunity to network.
Location
The sessions will take place at Brown Rudnick’s offices (8 Clifford St, London W1S 2LQ).
Dates
- Tuesday 24 September – Session 1: Misconduct and lack of fitness and propriety
- Tuesday 15 October – Session 2: The pre-FCA investigation stage
- Tuesday 5 November – Session 3: The FCA enforcement process
Timings
For each session, registration will be open from 6.00pm and the session will start at 6:30pm, followed by drinks and canapés.
If you wish to attend one or more of the sessions, please register here. Please note that, by submitting this form, you are registering your interest in attending the FSLA Academy training sessions. This is not an acceptance or confirmation of any place.
If you have any queries or special requirements, please contact us at fslalondon@gmail.com.
