Dealing with regulatory investigations can be a professionally daunting task which puts significant pressure on the whole team. Whilst prevention is often better than cure, this series of bite-size seminars aims to equip those working in financial and professional services to prepare for, deal with and respond to regulatory investigations in whatever format they take.
This series features 6 x 30-minute webinars, inclusive of a 5-minutes Q&A.
Webinar 1: What to do when the regulator comes knocking: practical tips on preparing for a visit from the regulator
23 January 2023 | 12:00-12:30 | 0.5 CPD Hours
Malin Nilsson
Managing Director of Financial Services Compliance and Regulation at Kroll
Webinar 2: Understanding the extent of the regulators' powers of investigation?
06 February 2023 | 12:00-12:30 | 0.5 CPD Hours
Speaker TBC
Webinar 3: Practical guidance on managing a visit from the regulator
06 March 2023 | 12:00-12:30 | 0.5 CPD Hours
Speaker TBC
Webinar 4: What happens if a breach is identified and what do to next?
13 March 2023 | 12:00-12:30 | 0.5 CPD Hours
Malin Nilsson
Managing Director of Financial Services Compliance and Regulation at Kroll
Webinar 5: Communicating with the regulator – top tips
10 May 2023 | 12:00-12:30 | 0.5 CPD Hours
Saima Hanif KC
Barrister at 3 Verulam Buildings
Webinar 6: To be prepared is half the victory – the importance of compliance review and remediation
12 June 2023 | 12:00-12:30 | 0.5 CPD Hours
Malin Nilsson
Managing Director of Financial Services Compliance and Regulation at Kroll
