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.

Description

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

Speakers

• Oliver Assersohn KC, King’s Counsel, XXIV Old Buildings
• Zeena Saleh, Solicitor, Dentons
• Chair: Kevin Lazarus, Solicitor, Lloyd’s