Rogue traders, the Libor scandal, senior managers held to account for bank meltdowns. Financial Institutions have hit the headlines in high profile regulatory enforcement actions. When the regulators come knocking, what should the In-House Counsel do to navigate regulatory enforcement and investigations?
Hogan Lovells requests the pleasure of your company at a seminar to discuss current market trends in regulatory enforcement impact on cross-divisional teams and cross-jurisdictional operations of financial institutions.
Effectively setting up and managing an internal investigation can give rise to complex issues involving liaison with regulators across multiple jurisdictions and managing potentially conflicting interests between internal functions during an investigation. In parallel with the fact-finding exercise of the investigation, consideration must be given to remediation and potential employment law issues.
This seminar will cover:
• current regulatory enforcement trends in key jurisdictions including the Pottage case, the UBS rogue trader incident, and the Libor manipulation probe
• a practical framework for conducting an internal investigation – lessons learned and pitfalls
• the aftermath of the investigation – managing regulator expectations and employment law issues
Hong Kong Law Society CPD point applied for.