Trust But Verify

An L&C Division Webinar

15 February 2024 • 10:00 AM - 11:00 AM ET

From more aggressive use of “cooperation factors” to extensive undertakings that impose monitors or require the use of external consultants, financial regulators have changed how they pursue and how they ultimately conclude their enforcement matters.  These changes are having a material impact on how regulated businesses must defend themselves.  This timely session will provide an overview of how government investigations tactics are changing, most recently with the issuance of CFTC Enforcement Division’s October 2023 advisory which provides specific guidance and practices that companies can adapt to achieve favorable outcomes and avoid larger fines and burdensome undertakings.


Host: Natalie Tynan, Associate General Counsel, Head of Technology, Documentation Strategy, FIA
Panelists: Jon Flynn, Senior Counsel, Allen & Overy
Anthony Mansfield, Partner, Allen & Overy
Tom Balogh, Executive Director, Allen & Overy Consulting
Date/Time: Thursday, 15 Febuary 2024 | 10:00 a.m. – 11:00  a.m. ET

This webinar is intended for informational purposes only and is not intended to provide investment, tax, business, legal or professional advice. Neither FIA nor its members endorse, approve, recommend, or certify any information, opinion, product, or service referenced in this webinar.  FIA makes no representations, warranties, or guarantees as to the webinar’s content.