The regulation of non-financial misconduct
In this IIL London Market webinar, Oliver Assersohn and Zeena Saleh talk about how non-financial misconduct is increasingly in the spotlight across all regulated sectors. The speakers outline what this means for professionals and in particular, the required standards of conduct and how to respond and react to an investigation and/or regulatory action.
In this session, the speakers focus on the requirements placed on individuals in relation to their conduct and in particular the parameters in which non-financial misconduct can be the basis for regulatory action and what steps can be taken to ensure compliance.
Learning objectives:
- What is non-financial misconduct
- The approach of the FCA and Lloyd’s
- Conducting internal investigation and responding to a regulatory investigation/action
This session will not be recorded, so a playback will not be available for members who do not attend the live event - Chatham House rules apply.
Chair: Kevin Lazarus, Solicitor, Lloyd's
Venue
- Online event
Booking information:
You will be sent a confirmation email shortly after booking. If you have not received this within one hour, please contact Patricia Pedraza (020 7397 3911).
To view our image and video capture consent statement, please click here.
CII Accredited
This demonstrates the quality of an event and that it meets CII member CPD scheme requirements.
1 hour's CPD can be claimed for this event if relevant to your learning and development needs.
It is recommended that you keep any evidence of the CPD activity you have completed and upload copies to the recording tool as the CII may ask to see this if your record is selected for review. Details of the scheme can be viewed online at www.cii.co.uk/cpd.