Katie has over 25 years’ experience of advising financial institutions during which she has acted on a wide range of contentious regulatory matters including investigations and enforcement proceedings involving the FCA, PRA, Ofgem, FRC, AIM, ICE, SRA, NCA and HMRC, as well as regulators in other jurisdictions. She regularly advises regulated firms, corporates and senior management on regulatory issues such as market abuse, market disclosures, money laundering, retail mis-selling, consumer credit, conflicts of interest, ESG, corporate governance, systems and controls, individual accountability and notifications.
Eight lessons to be learned and one area of focus to prepare for.
Current trends and practical guidance to navigating a skilled person review.
What firms should consider in relation to environmental claims and disclosures.
Practical steps to manage global implementation and change in rule-mapping, regulation and governance.