How to respond to regulatory references

Most firms are now well-versed in the overarching principles of the regulatory reference regime particularly where the reference provided will be “clean”. However, in our experience, in-house legal, compliance and HR teams are finding it increasingly challenging to respond to reference requests in more complex scenarios, which can require making difficult judgement calls on what to say. We invite you to join us on Tuesday 24 May for a seminar-style session at which we will consider tricky issues in responding to regulatory references and what best practice looks like.

Hosted by Joanna Chatterton, David Murphy, Sona Ganatra and Daisy Jones, the evening will include topical case studies and a Q&A session which will cover challenging issues including:

• The regulators’ evolving view of non-financial misconduct
• The line between “honesty and integrity” and “competence and capability”
• Balancing employment and regulatory requirements