ARDL Seminar: Confidentiality and disclosure in financial services and fraud investigations

Date: Thursday 17 October 2019

Venue: Irwin Mitchell, 40 Holborn Viaduct, Holborn, London EC1N 2PZ

Confidential documents produced or disclosed for the purposes of investigations conducted by financial services regulators and law enforcement agencies are increasingly the target of applications by third parties who have an interest in obtaining them (e.g. to pursue related civil litigation arising out of the subject matter of the investigation). How are the competing public interests of maintaining confidentiality and ensuring that disputes are decided on the basis of all relevant materials to be reconciled? The seminar will explore recent developments in the approach of the courts and whether the right balance is being struck. It will be of interest to practitioners who advise on investigations, to regulators and prosecutors and to anyone who acts in civil proceedings arising out of regulatory or criminal misconduct.

Speakers: Richard Lissack QC and Robin Barclay of Fountain Court Chambers

Chair: Richard Coleman QC, Fountain Court Chambers

Richard Lissack QC and Robin Barclay are leading practitioners in financial services and corporate crime. Richard Lissack QC’s practice includes international banking and financial services, anticorruption legislation/ Bribery Act, commercial fraud, health and safety, public inquiries and regulatory breaches. At present he is leading teams in the UK and internationally on several of the landmark banking/ regulatory/ criminal cases, including The London Whale, Barclays Capital Raising in Qatar, LIBOR, USB FOREX, ENRC v Dechert LLP, Conoco Phillips. Robin Barclay has a wide-ranging commercial practice specialising in international commercial, criminal and financial services fraud. He regularly appears as both leading or led counsel in the Commercial Court and Chancery Division; in judicial review proceedings in the Administrative Court; and in corporate, white collar and financial services enforcement investigations and prosecutions in the Crown Court or before regulatory/ disciplinary tribunals. As well as trials Robin routinely acts in pre-action and interim applications for or challenges to search orders/warrants, freezing/ restraint orders, disclosure/ production orders/notices, and confiscation and disqualification proceedings.

Time: Registration from 17:30; Seminar 18:00-19:00; Drinks and nibbles from 19:00

Email ARDL@kingsleynapley.co.uk to book your space.

BSB seeks panel for paid legal representation for tribunals and other hearings

The Bar Standards Board (BSB) is seeking applications from chambers or other authoised organisations specialising in regulatory and disciplinary law, for their new Tribunal Representation Panel (TRP).  Please follow the below link for further details, and please also see below application pack.

https://www.barstandardsboard.org.uk/media-centre/press-releases-and-news/bsb-seeks-panel-for-paid-legal-representation-for-tribunals-and-other-hearings/

Application pack

 

ARDL Seminar: Dishonesty and Integrity – How are they dealt with in regulatory proceedings?

 

Date: Tuesday 17th September 2019 at 5.00pm at Anderson Strathern offices, Edinburgh

Speakers: James Mulgrew, Solicitor Advocate; Graeme Watson, Partner, Clyde & Co

Chair: Jennifer Macdonald, Director of Regulation and Legal Services, General Teaching Council for Scotland

 

Overview  

Our fourth seminar in the ARDL Scotland Seminar Programme 2019 will look at how dishonesty and lack of integrity are charged, interpreted, prosecuted and defended in regulatory proceedings across the range of regulators. The case of Ivey v Genting Casinos [2017] UKSC 67 brought a new perspective on the way in which panels were to assess dishonesty, while the case of Wingate & Evans v the Solicitors Regulatory Authority [2018] EWCA Civ 366 gave focus to how a lack of integrity might be applied in professional regulation more widely. Our seminar will discuss what these cases and the subsequent related cases have meant for professional regulation, regulators and registrants. We’ll also look at the increase in the use of dishonesty and lack of integrity allegations and whether or not this has brought about a sliding scale of seriousness in terms of dishonesty and lack of integrity.    We’ll hear from those on the front line with the opportunity for the audience to join in a panel discussion and Q&A after the presentations.

 

Chair 

Jennifer Macdonald, GTC Scotland: As Director of Regulation and Legal Services, Jennifer is a member of the Corporate Management Team. She is responsible for drafting the various Rules, constitutional and other legal documents that GTC Scotland must have in place in terms of its governing legislation. Jennifer is also responsible for the team that supports the adjudication of fitness to teach cases.

 

Speakers 

James Mulgrew, Solicitor Advocate: James is an experienced Solicitor Advocate and regularly appears in the criminal courts. He brings a representative and also a legal adviser perspective to his professional regulatory work. James represents nurses before the conduct committees of the Nursing and Midwifery Council and also at Fatal Accident Inquiries. He sits as a legal adviser to the Fitness to Teach Panels of the General Teaching Council for Scotland.

Graeme Watson, Partner, Clyde & Co: Graeme acts for healthcare professionals, particularly doctors and dentists, in clinical negligence claims and before the regulators, including the MPTS and the GDC. His practice covers fatal accident inquiries and public inquiries. He undertakes judicial reviews arising from healthcare disputes. His disciplinary and regulatory practice extends to teachers, actuaries, accountants and other professions. He sits as a legal adviser to the disciplinary tribunal panels of the Institute and Faculty of Actuaries.

 

Registration & tea/ coffee: 5.00 pm – 5.30 pm

Seminar: 5.30 pm – 6.30 pm

Refreshments: 6.30 pm onwards

 

ARDL seminars qualify for CPD. Please remember to sign the relevant CPD sheets at the seminars.