AFB Practice Workshop: How to Handle Internal Investigations into Allegations of Non-Financial Misconduct

This interactive practice workshop will provide members with a practical session on handling internal investigations into allegations of non-financial misconduct.

Why attend?

The workshop, held in partnership with Bryan Cave Leighton Paisner (BCLP), is designed to provide attendees with practical advice and guidance from BCLP’s regulatory and employment law experts on the complexities of handling sensitive internal investigations. 

The session will consider the lifecycle of an internal investigation and address topics including:

• Scoping the investigation and assembling the investigative team
• Handling requests for witness anonymity and reluctant witnesses
• Interview techniques, including considerations of psychological safety and accommodating disabilities and health conditions; and
• Use of non-disclosure agreements (NDA), particularly following the House of Commons Treasury Committee Sexism in the City Report

The session will also cover the FCA’s Conduct Rules, and then segway into an interactive case study based on a scenario involving allegations of non-financial misconduct.

What will members gain for use at their bank?

• Practical advice and guidance on conducting internal investigations
• The latest on the regulator’s position on non-financial misconduct
• The opportunity to engage in facilitated discussion on these issues with fellow AFB members and BCLP lawyers

Who Should Attend?

This session is designed for those working in employment/HR, Legal, Compliance as well as investigation and whistleblowing teams.

Speakers

Polly James, Partner and Global Practice Co-Leader (Financial Services Disputes and Investigations)

Polly is an experienced financial services regulatory lawyer who helps financial institutions and their boards to manage regulatory risks arising in a broad range of situations spanning enforcement proceedings, supervisory interventions (e.g. s166 reviews and use of ‘own initiative powers’), whistleblower reports, FOS complaints and navigating legal/regulatory changes. Having been on secondment to the FSA Enforcement Division, she knows what it feels like on both sides of the table.

Polly regularly conducts internal investigations in the financial services sector across a wide range of subject matter, with a particular focus on dealing with whistleblower allegations and other sensitive matters, where she works with trusted employment law colleagues to identify and manage both regulatory risks and employment legal risks.

Polly is listed as a Leading Individual for contentious regulatory work in both Chambers & Partners and the Legal500

Siân Cowan-Williams, Senior Associate (Financial Services Disputes and Investigations)

Siân is experienced in the complex financial regulatory issues faced by financial institutions and individual members of senior management.

Siân has represented clients under regulatory investigation by the FCA, PRA and other government enforcement agencies. She has also worked on several corporate internal investigations concerning allegations of bribery and other misconduct.

In addition to her contentious practice, Siân advises clients on compliance policies and procedures covering anti-bribery and corruption, anti-money laundering and counter-terrorist financing. She also has experience of advising clients on their ESG risk, which includes both modern slavery and conducting supply chain due diligence.

Tegan Schultz, Associate (Financial Services Disputes and Investigations)

Tegan is dual qualified in both England & Wales and South Africa.

As a primary member of the Financial Services Disputes and Investigations team, Tegan represents clients under regulatory investigation by the FCA, PRA and other government enforcement agencies. She has also worked on corporate internal investigations concerning various allegations.

In addition, Tegan has experience in complex dispute resolution, which expands across commercial litigation and arbitration.

Jemma Green, Associate (Employment)

Jemma is an Associate in the Employment & Labor group where she advises clients across various sectors on contentious and non-contentious employment law matters.

Jemma’s work involves defending complex Employment Tribunal cases, including discrimination and whistleblowing claims, advising on corporate transactions, supporting employers in handling day-to-day employment law issues, including ill-health, grievances and flexible working requests, assisting employers in successfully managing the workplace post-pandemic, including advice on hybrid working and performance management and drafting and negotiating a variety of employment law agreements, such as service agreements, settlement agreements and policies.

Logistics

Please note, you will receive a confirmation of your booking via email within 24 hours.  Should you not receive a confirmation, please contact AFB to double check if your booking was successful.

Format:   In-person at BCLP, Governor’s House, 5 Laurence Pountney Hill, EC4R 0BR

Fee:         £255.00 + VAT

Date:       Wednesday 20 November 2024

Time:       09:00 – 11:30 (Registration and breakfast from 09:00-09:30)

Places:     Maximum of 30 people

If you would like to submit a question or have any specific areas that you would like the session to address, please send them to the AFB at secretariat@foreignbanks.org.uk. You will receive details on how to join the session one week before the event.