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November 17, 2020

FCA and SEC Enforcement Trends: 2020

In this presentation, members of the Willkie Compliance, Investigations and Enforcement team in London and Washington, D.C. engage in a practical discussion of the current trends and hot topics in enforcement by the US Securities and Exchange Commission and the UK Financial Conduct Authority. 

Discussion topics include:

  • FCA and SEC enforcement actions in the time of Covid-19
  • Multi-agency enforcement and collaboration
  • Key areas of focus include:
    • Prevention of financial crime
    • Market abuse
    • Cryptocurrency and cybersecurity
    • Private funds
    • Operational resilience, firm culture and governance

Speakers:  Elizabeth Gray, James Burns, Peter Burrell, Simon Osborn-King

Download the presentation here.