EVENT: Non-financial misconduct – when a problem becomes terminal

EVENT: Non-financial misconduct – when a problem becomes terminal

C&G Regulatory Solutions and City law firm Fieldfisher have teamed up to stage a joint event on Wednesday 13th September 2023 at 18:00 covering the topic of non-financial misconduct

Join us for a collaborative round-table presentation featuring experts from C&G Regulatory Solutions, and Financial Regulation and Employment specialists from Fieldfisher London. 

Recent headlines have highlighted the remarkable velocity at which enduring problems related to non-financial misconduct can erupt, causing severe and far-reaching consequences. What may have been accepted or overlooked just half a decade ago can today spell the demise of a business.

During this hour-long round-table session, we delve into the prevailing regulatory challenges surrounding this matter and provide insights into best practices and pitfalls to avoid. This discussion will prove especially valuable to compliance, human resources and legal leaders within investment firms.

Our speakers will cover:

  • Different types of non-financial misconduct and why they matter
  • Lots of small things vs. one big thing
  • What is ‘Fit and Proper’?
  • Employment issues – when to suspend, and how to investigate
  • What to tell the Regulator – and when
  • How ‘innocent’ people can get caught in the crossfire

Speakers: 

From C&G Regulatory Solutions: Alex Culley, CEO; Lewis Gurry  Lewis Gurry, Director.

From FieldfisherDuncan Black, Head of Financial Regulation; Nick Thorpe, Partner (Employment); Sam Clyndes, Senior Associate (Financial Regulation)

Our speakers collectively possess a rich reservoir of expertise gained from their roles in investment firms, a leading City law firm, and their interactions with the FCA. They consistently encounter these issues in their daily interactions with clients.

Please click on the following link to register and join us for this informative event. For more information contact Luiza Barwood  at Luiza.barwood@cgregulatorysolutions or 07874 950135.

Luiza Barwood

Luiza Barwood

Luiza Barwood

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