Here is your chance to hear how the FCA works, what they are trying to do and the progress they are making in building market and investor confidence. Both ShareSoc and UKSA receive many grumbles and complaints about companies and about the way the FCA deals with them. So, we thought it would be useful to have a webinar where members can both listen, share their concerns, ask questions and get answers directly from the FCA.
We are very pleased that Mark Steward, who is the FCA’s Executive Director, Enforcement and Market Oversight has agreed to talk to us. Mark has vast experience of the markets and was appointed the Director of Enforcement and Market Oversight for the FCA in October 2015. He has been involved in corporate, financial services and securities regulation since 1987 in Australia, Hong Kong and in the UK, specialising in investigatory work and resulting litigation.
1. Explanation of the FCA role and mission in respect of UK stock markets and enforcement role
2. Explanation of the process of building a case
3. Explanation of the complaints procedure
4. Update on cases under investigation and concluded (Note: specific cases cannot be discussed)
Members will recall that we have done a similar session with the FRC quite successfully for the past 2 years, (for more info see https://www.sharesoc.org/blog/frc-individual-shareholders-engagement-meeting-5-nov-2019/). We anticipate this session to be at least as good.
Registration is open to full members of ShareSoc and members of SIGnet. You need to be logged in to this website as a member to register. If logged in with an appropriate account, please click “Submit” below to register – and then follow the instructions displayed. If you are a full member of ShareSoc, or a member of SIGnet, but have not logged in previously, go here for instructions on how to set your password and login. To upgrade your membership go here or here.