10times
25 May 2021Ended

Fitness and propriety in a world of individual accountability, non-financial misconduct and a regulator under pressure

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Estimated Turnout

upto 100
Delegates
Based on previous editions

Editions

May 2021

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Not Available
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Fitness and propriety (F&P) remains the cornerstone of the FCA's approach to regulated individuals. But in the meantime under the SM&CR it is .. Read more regulated firms that have to interpret and apply fitness and propriety day-to-day. Guy specialises in regulatory disputes, particularly involving financial and professional services and has been involved in some of the FCA and PRA's highest profile investigations against both individuals and institutions. He was formerly a member of the FCA's senior leadership team and had responsibility for developing enforcement strategy, especially in relation to financial crime and anti-money laundering where he chaired the cross-divisional working group. While at the FCA, Guy set up and ran an internal expert group for investigations against senior individuals and also chaired the FCA's insolvency expert group. His regulatory experience involves a wide range of matters including anti-money laundering and anti-bribery controls, listings rule breaches, conflicts of interest, suitability of investment advice, treatment of customers, client asset rules, market misconduct, competition law and personal culpability of individuals as well as matters in the gambling and professional sectors. Elizabeth’s skills were strengthened by a seven month secondment to the FCA's Regulatory Enforcement division in 2016 where she gained valuable insight into the future strategy of, and priorities for, the FCA as well as the FCA's approach to Enforcement.

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