Back to All Events

Regulatory expectations around Fundamental Rule 7 / Principle 11 notifications

  • Bank of America Merrill Lynch - King Edward Hall 2 King Edward Street London, England, EC1A 1HQ United Kingdom (map)

CHAIR : 

Claire Edwards,
EMEA Head of Compliance Regulatory Management and Change, J.P. Morgan,

Member of SHCOG Steering Committee


PRESENTER : 

Rob Moulton
, Partner, Latham & Watkins
 

 The discussions will cover:

  • Notification requirements and the expectations of the PRA and FCA
  • How expectations have changed over time
  • Compliance's role in relation to Principle 11 / Fundamental Rule 7
  • Legal considerations in relation to the notification requirements
  • Expectations / responsibilities of Senior Managers
  • Application of the notification requirements in certain specific circumstances and the associated challenges
Earlier Event: May 25
MiFID II - Product Governance
Later Event: August 9
MiFID II - Unbundling of Research