News & Events | Seminar

Regulatory Risk: Where does the buck stop?
Thursday 13th December 2007
at 10 Queen Street Place London, EC4R 1BE

Following publication of Market Watch 24, the FSA has given direction as to the types of good practice, systems and controls it expects to see within hedge funds to mitigate the risk of market abuse. Once again, senior management responsibilities are a key focus. This guidance also has wider application for all regulated entities and senior management.

The FSA will continue to use its extensive powers of supervision and enforcement to ensure best practice in the marketplace.

This seminar will be of interest to senior management and those in compliance interested in mitigating the risk of enforcement action.
 

Chair
Bruce Gardner
Head of the Financial Markets Group
SJ Berwin
 
Speakers:
Scott Wilson
CEO
IMS Consulting

Catherine Bailey
Partner
SJ Berwin

Alex Leitch
Partner
SJ Berwin
 
Timetable:
08:30 - Registration / Buffet Breakfast
08:45 - Seminar commences
09:45 - Questions & answers
10:15 - Refreshments
 
 
Programme:
Compliance Culture

• FSA Market Watch 24
• Current attitudes
• Systems and Controls
• Training and monitoring

Key Points in managing an investigation

• The document trail
• Types of interviews
• Self incrimination
• Privilege and disclosure

Where does the buck stop?

• Senior management responsibilities
• Vicarious liability
• Exposure to other claims 
 

RSVP
RSVP by e-mail to katie.johnston@sjberwin.com or alternatively by fax to 020 7111 2000, including in your message your name and organisation and the name of the seminar. Colleagues are welcome to attend in your place

Training
SJ Berwin is accredited as a provider of continuing professional development by the Law Society and other professional bodies. Attendance at this seminar qualifies as 1CPD hour, reference SJB/1.
 


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