ARDL Seminar 20/9/18: The convergence of regulatory and criminal investigations and the dilemmas for enforcement agencies

ARDL Seminar: Thursday 20 September 2018

The convergence of regulatory and criminal investigations and the dilemmas for enforcement agencies

Chair: Paul Ozin QC

Speakers: Claire Lipworth, Partner, Hogan Lovells and Gareth Rees QC, Partner, King & Spalding

The speakers will discuss:

· Discretion

· Sanctions and penalties

· Public interest and publicity

· Failure to prevent

· Tales from the FRC and FCA

Time: Registration: 5.30pm

Seminar: 6.00pm

Venue: Blake Morgan LLP, 6 New Street Square, EC4A 3DJ London

A drinks and canapes reception will follow the seminar.

About the speakers:

Claire Lipworth is a partner at Hogan Lovells and helps companies and individuals with financial crime problems. This involves conducting or advising in relation to internal investigations and providing representation in respect of external investigations conducted by the FCA, SFO, NCA and the police, among others. She also provides advice in respect of AML, ABC and tax evasion facilitation compliance. Claire joined Hogan Lovells from the FCA where she was Chief Criminal Counsel. Prior to joining the FCA Claire was a partner in the white collar crime team at Peters & Peters.

Gareth Rees QC was called to the bar in 1981 and appointed Queens Counsel in 2003. His main practice at the bar was in crime and fraud but he was also instructed in disciplinary and regulatory matters and chairs RFU Disciplinary Tribunals. In 2012 he was appointed Executive Counsel at the Financial Reporting Council with responsibility for investigating and prosecuting auditors, accountants and actuaries for misconduct affecting the UK public interest. Since November 2017 he has been a partner at King & Spalding in its Special Matters team undertaking corporate investigations and advising on criminal, regulatory and disciplinary issues.

Paul Ozin QC specialises principally in the fields of financial and business crime, regulatory and disciplinary proceedings and related public law and civil actions. He is an established writer and speaker in those fields. He is consistently highly ranked in the leading legal directories. In Legal 500 UK Bar, he is ranked in the categories of: (1) Business and regulatory crime (including global investigations); (2) Fraud: Crime; and (3) Professional discipline and regulatory law. He leads the 23 Essex Street Regulatory and Disciplinary team. He is currently the Chair of ARDL’s Seminar Committee and is ARDL’s Vice-Chair.

Email to book your space.

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