Asset Managers: FCA Investigations in 2021 Webinar: Watch on Demand


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25 March 2021. Key insights on FCA investigations for Asset Managers: current trends, practical tips and maximising your insurance cover.

Throughout 2020, regulatory investigations remained a key risk for regulated firms, with Asset Managers/Funds remaining top of the FCA priority list.  We expect the FCA’s specific focus on “smaller firms” and the Senior Managers & Certification Regime to continue to present asset managers with challenges in 2021.  The pandemic, lockdowns and work from home directive also provide the context for greater investigation and enforcement activity in the coming months.

Navigating the investigation process, and ensuring you utilise the insurance coverage available, is not easy, particularly when doing so under the pressure of an active FCA investigation.  In this webinar, we provide guidance on the practicalities of investigations for asset managers, explore the current focus of the FCA, and give some top tips on the insurance coverage available and utilising that cover effectively. 

Co-hosted by Howden Insurance Brokers and DWF.

Agenda of discussion topics

DWF investigation lawyers, Imogen Makin and Richard Burger, will take us through some of the FCA top areas of enforcement interest, before exploring the proactive defence to an FCA enforcement case, including:

  • Pre-investigations
  • Responding to an Information Request in a time and cost efficient manner
  • Interviews with the Enforcement teams *bring your own coffee
  • Post interview submissions
  • Settlement discussions
  • The Regulatory Decisions Committee and beyond
  • Penalties

Carey Lynn and Sam Vardy from Howden’s Legal, Technical and Claims team will then consider insurance implications, focusing on:

  • Investigations coverage across Directors & Officers and Professional Indemnity Insurance and its changing scope
  • Interaction between Directors & Officers cover and company indemnities
  • The practicalities of making a claim
  • Dealing with internal conflicts and insurance during investigations
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