Watch webinar

Staying on top of FCA enforcement and supervision

This webinar took place on the 29th May 2024

This webinar was hosted in conjunction with:

Bovill_-_logo_with_strapline5000px

Watch webinar

Staying on top of FCA enforcement and supervision

This webinar took place on the 29th May 2024

This webinar was hosted in conjunction with:

Bovill_-_logo_with_strapline5000px

As the debate intensifies on whether the FCA should name a firm once an investigation is open, the FCA's proactive stance on supervision and enforcement is unmistakable.

In 2022/23, the FCA recorded the highest number of open intervention cases since 2019/20; a clear indication of the FCA's willingness to use their powers to impose new requirements on firms, alter permissions and even prevent the onboarding of new clients.

How should your firm respond to an ‘assertive, proactive and intrusive’ regulator? In this free 60-minute webinar, our panel of experts will:

  • Make sense of the FCA's increasing use of its full supervisory intervention powers.

  • Reveal how your firm can meet heightened FCA scrutiny and avoid enforcement action.

  • Assess the degree to which your financial crime systems and controls reflect the regulator's expectations.

  • Demonstrate and evidence to the FCA that Consumer Duty is embedded in your operations.

  • Detail the strategies your firm can adopt to reduce conduct breaches and cases of non-financial misconduct.

Watch the webinar here:

Meet our webinar panel

Mark Spiers Bovill
Mark Spiers 
Partner | Bovill

LinkedIN

Mark has over 20 years’ experience in the industry, in particular across wealth management, banking and financial crime. Before joining Bovill, he worked in multiple compliance roles including as a Money Laundering Reporting Officer in several large international investment banks, including UBS and Kleinwort Benson. Mark is a hands-on practitioner who specialises in the practical interpretation of the rules in a commercial environment. He also has significant experience in handling regulatory intervention including thematic reviews and potential enforcement action.

Adrian Harvey
Adrian Harvey
CEO | Elephants Don't Forget

LinkedIN

Adrian spent the first decade of his career working in corporate banking and lending with ABN AMRO, GE Capital & BNP Paribas. He joined the energy sector to bring commercial expertise to the privatisation of British Gas and spent ten years in the sector. He was Managing Director of the largest residential business of British Gas and Managing Director of Eon’s property services and renewable energy business.

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