Financial Institutions Regulatory Disputes and Investigations

London, UK
24 November 2015 - 25 November 2015
Hosted By: C5

Financial markets and new products continue to evolve rapidly against an ever-tightening regulatory backdrop. The recent and ongoing probes and investigations by national and global regulators, coupled with a sharp escalation in the number of claims by clients, are resulting in an unprecedentedly high number of litigations, regulatory fines, and penalties. Any misconduct can incur costly legal battles, criminal liabilities, and tarnished reputations. The news that other institutions are being investigated by regulators across the globe raises the possibility of copycat litigation across multiple jurisdictions. During this event, NERA Senior Consultant Gary Lambert will lead a session entitled, “Rapid Response to Complex Issues in Global Banking and Financial Markets Investigations.” The session will address different types of conduct or issues, covering various asset classes or products, as well as review the different stages of investigation in which financial analysis can be of use.

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