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