10th May 2019


Adam Temple will be speaking at Pennington Manches’ financial regualtion seminar which will consider best pracice when a financial services firm is exposed as a result of wrongdoing, what duties it owes to the FCA and how these duties interact with the way it deals with its employees.

Topics to be covered include:

  • How FCA investigations and allegations of regulatory breach overlap with decisions as to suspension and disciplinary action.
  • When issues of whistleblowing arise, how to protect whistleblowers and to avoid detriment claims.
  • Whether and when the firm should report the problem to the FCA.
  • Issues around privilege and providing documents to the FCA.
  • Reducing the scope for/the size of financial penalties and other regulatory action.

To register for this event or to find out more information, please visit the Pennington’s website.

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