In this IIL London Market webinar, Oliver and Zeena will 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.
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
This event is open to those with a valid CII membership. To register for this event, please click here.