Virtual Practice Workshop: Whistleblowing & Non-financial Misconduct
The regulators firmly believe that whistleblowing plays a vital role in financial services – identifying risks, preventing wrongdoing and ensuring firms are regulated effectively. This can pose challenges for those advising and running an investigation when working within the regulatory regime and in accordance with employment law. If faced with competing considerations, what will drive your decision?
The AFB is delighted to partner with international law firm Bryan Cave Leighton Paisner LLP (“BCLP”) to provide a bespoke training workshop on whistleblowing and people management. This case study-based workshop will centre around a whistleblowing investigation relating to non-financial misconduct.
This workshop is limited to 30 attendees.
This Practice workshop will focus on:
- how to ensure you do not miss a whistle blow for regulatory and employment law purposes;
- how to conduct a disciplinary process when the whistle-blower has requested anonymity;
- how to make an informed decision on whether to suspend and what do you need to tell the regulator and when;
- how to frame the allegations in light of conduct rule breaches;
- understanding the roles and responsibilities of those conducting the investigation;
- should you investigate senior managers given their responsibilities in the context of non-financial misconduct within their teams.
What will participants be able to implement Back@Bank after this virtual workshop?
- ensure you are better prepared to identify when someone has raised a whistle blow for regulatory and employment law purposes;
- effectively manage a disciplinary process, including framing the allegations in the context of the conduct rules and ensuring that you understand the position on anonymity;
- have confidence in knowing when and what you have to tell the regulator;
- ensure those involved in the investigation are clear as to their roles and responsibilities;
- consider the wider implications, including whether senior managers are also implicated.
Who should attend?
This workshop is aimed at those working in a Compliance, HR, Legal, Senior Manager and Risk functions.
Polly James is a partner and is global co-leader of BCLP’s Financial Services Disputes and Investigations Practice Group, covering contentious and non-contentious regulatory issues in the financial services sector and cross-border investigations. She has a wealth of experience acting on substantial and complex cases for a wide range of clients, including a number of international banks and other financial institutions, as well as senior individuals working in the financial services sector. Her full bio can be read here
Adam Jamieson is a partner in BCLP’s Disputes & Investigations department, specialising in advising financial services firms, listed companies and senior individuals involved in internal and regulatory investigations. Adam has significant experience of representing clients in regulatory enforcement investigations conducted by the FCA and the PRA. His full bio can be read here
Catherine Turner is a Senior Associate in BCLP’s Employment & Labour department. Catherine helps leading financial institutions and corporations with their advisory and contentious matters, advising on a broad spectrum of employment matters, including whistleblowing investigations, large scale rationalisation programmes, remuneration issues, sickness absence, disciplinaries, grievances and performance management. Catherine’s full bio can be read here
Optional Open Surgery from 10:00 – 10:30
After the virtual Practice workshop finishes at 10:00, members who wish to do so, can remain online for an Open Surgery session with our BCLP speakers. The session is open until 10:30.
Please note the AFB has a new website and member portal, you will need to log in to our member portal to complete your event registration. The log in details you used previously on our old website will no longer work. Your username is your email address, use the ‘Recover your log in details’ button as this will allow you to set a password. Alternatively, If you cannot remember your password, you can reset this here or email firstname.lastname@example.org You will receive details on how to join the session a few days before the event.
Format: Virtual workshop (platform: Zoom)
Cost: £220 + VAT
Date: 10 November 2021
Time: 09:00 – 10:00 – Virtual Practice workshop
10:00 – 10:30 – Optional Open Surgery
Places: Maximum of 30 people
The session is intended to be interactive and allow participants to discuss the examples provided, raise their own challenges and receive feedback from others. To enable this interaction, participants should ensure they can join by video. There will be ample opportunity for questions throughout the session, however, if you would like to submit a question before or have any specific questions or areas that you would like the Practice workshop to address, please send them to the AFB at email@example.com as soon as practicable. The Practice workshop will be held under the Chatham House Rule, in order to promote free and constructive discussion.
You will receive details on how to join the Virtual Practice workshop a few days before the event.