Investigations and enforcement action in the financial services sector

Brodies Event

Date: Thursday 7th October

Time: 2pm-3pm

In this session, we will be joined by Oliver Powell, Barrister at Outer Temple Chambers, London to discuss the Financial Conduct Authority's criminal investigatory and enforcement powers.

This session will be most relevant to FCA-regulated professionals and businesses and will discuss:

  • the FCA's current enforcement priorities and strategy;
  • the differences that apply as between Scotland and England;
  • the conduct of an FCA investigation, including its powers to compel attendance at interview and the production of documents; and
  • the key protective steps financial services professionals and businesses can take in the event of being subject to enforcement action by the FCA.