AFB Practice Workshop: How to Handle Boardroom Disputes Effectively

This workshop, hosted by Simmons & Simmons, will use case studies to explore the complexities of boardroom disputes for financial services and other firms.  It will also outline how firms can successfully navigate these disputes.

The session will cover the expectations of the regulators in this context, as well as the governance and employment law issues that arise. The workshop will explore different scenarios, including issues regarding non-financial misconduct and the breakdown in board relationships, with reference to recent FCA decisions.

Why attend?

Boardroom disputes are complex for any organisation to deal with. The regulatory, financial and reputational risks arising can be significant. Simmons & Simmons will provide a greater understanding of the key risk areas, potential pitfalls, and what to consider if faced with a dispute.

What will members gain for use at their bank?

Members will gain practical skills to navigate boardroom disputes in a compliant, objective and collaborative way.

Who should attend?

CEOs, NEDs, senior members of Legal, Compliance, HR and Company Secretaries.

Speakers

Andrew Williams, Consultant

Andrew spent almost 25 years at UBS in a variety of legal & compliance roles, including 5 years as the Global Chief Compliance Office. He now has a plural career which incorporates working at Simmons & Simmons, mainly on regulatory matters and internal investigations, acting as an executive coach to incoming senior managers in risk, compliance and legal roles and chairing the disciplinary tribunal of the London Metals Exchange. Prior to his role with the LME, Andrew spent six years as one of legal chairs of the Financial Reporting Council Tribunal. He has extensive experience of board room disputes, from many different perspectives.

Emma Sutcliffe, Head of Disputes and Investigations team

Emma is both a leading contentious regulatory practitioner and is also the Head of the Simmons & Simmons Disputes and Investigations team in the UK. Her clients – including large UK and foreign investment and retail banks, as well as other major financial institutions, and senior, board level, individuals – greatly value her expertise in the field. She is well-versed in dealing with large scale and confidential investigations and regularly advises on reporting to and communicating with the FCA and managing the multi-jurisdictional aspects of contentious matters. Emma’s specialisms include financial regulatory investigations, disputes and enforcement actions, conduct risk, whistleblowing and regulatory reporting. She regularly trains and advises C-suite and Boards on managing these risks and speaks at industry forums and events on these issues. Emma has advised multiple clients on conduct risk queries including assessment of conduct rule breaches and fitness and propriety, regulatory reporting requirements, whistleblowing obligations and regulatory references. Emma also frequently advises on the implications of the changes to firms introduced by the SMCR.

David Hicks, Partner

David is a Partner at Simmons & Simmons, advising clients from across the financial services sector on all aspects of their businesses, including M&A, governance, fundraising and restructuring. He is a member of the Law Society’s Company Law Committee and the Quoted Companies Alliance Corporate Governance and Legal Expert Groups. This work has included being part of working groups writing the QCA Code and responding to consultations on the UK Corporate Governance Code. David also writes and speaks on corporate governance matters and provides training to directors, particularly within regulated groups.

Fiona Bolton, Partner

Fiona is a Partner in the Simmons & Simmons employment team. She advises financial services firms, including leading global financial institutions and asset managers, on complex employment matters including regulatory and conduct matters, and Employment Tribunal and High Court litigation. Clients turn to her for her expertise, pragmatism, intuition and responsiveness, and her understanding of the legal and regulatory landscape. Fiona also leads the Simmons international employment investigations group and is highly experienced in carrying out and advising on a wide range of investigations on sensitive matters, both in the UK and cross-border, including culture reviews.

Logistics

Format:   In-person at Simmons & Simmons, CityPoint, 1 Ropemaker St, EC2Y 9SS

Fee:         £265.00 + VAT

Date:       Thursday 22 May 2025

Time:       08:30 – 11:00 (Registration and breakfast from 08:30-09:00)

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 final event details one week before the event.

Please note that the cost charged for this event is payable to the Association of Foreign Banks. Simmons & Simmons is not charging the AFB or Members for hosting this event.