At this second webinar in our series discussing regulatory issues our expert speakers provided a practical update on conduct investigations and disciplinary processes for regulated businesses. Topics included:
- The investigation process: practical approaches and pitfalls
- The disciplinary process and possible sanctions
- Compliance obligations and regulatory notifications
For a copy of the slides please email events@wslaw.co.uk
Information contained on this page and within the video are covered by our Terms of Use. The content was correct at the time of the presentation, November 2021.
