FSA Investigations and Enforcement
Credible deterrence:
The FSA has followed through on its tough new credible deterrence regime and its decision to fine Aon for failures in its systems and controls has sent a stark warning to the industry.
FSA Enforcement:
Chaired by Richard Salter QC, 3 Verulam Buildings and featuring a detailed examination of current FSA strategy from Ian Mason, previously Head of the Wholesale Group in the FSA’s Enforcement Division, this conference will offer a lively interactive debate on the success of current policy. Our panel of top level industry speakers will be on hand to guide you through the impact of the latest decisions and developments and provide you with answers to the following key questions:
- What does intrusive supervision mean in practice?
- When can a firm appoint its own investigators?
- When does the FSA currently investigate individuals and what penalties is it negotiating?
- How will the FSA react to future enforcement cases in light of Fox Hayes?
- What is the meaning of credible deterrence in an ‘outcomes focused’ regulatory environment?
