Preparing for a regulatory visit

Professional Development

Overview

This seminar forms part of the 2020 Risk & Compliance CPD Seminar Series – a series of 10 CPD seminars, which take place once a month.

The 2020 Risk & Compliance CPD Seminar Series provides essential updates for those working in compliance and risk management roles, delivered by industry recognised experts. This series will comprise 10 monthly seminars of 60 minutes, inclusive of a 15-minute Q&A, covering a wide range of topics.

2020 Risk & Compliance CPD Seminar Series

View the full programme

Suitable For

All financial services professionals, in particular those working within the compliance function.

11 Mar 2020    View session times
11 Mar 2020    12:00 - 13:00
1 CPD hours
1 hour
Jersey

Preparing for a regulatory visit

Date: 11 Mar 2020
Time: 12:00 - 13:00

Cost: GBP 55

GENERAL INFORMATION

Timings: 12:00-13:00 (Registration from 11:45)
Venue: Jersey International Business School

BENEFITS

  • Certificates of attendance are provided
  • Refreshments are provided
  • 1 hour of CPD

SPEAKER

William Grace, Partner at Carey Olsen

William advises Jersey finance industry clients and international clients on financial services related disputes whether civil, criminal, regulatory or a combination. This includes advisory work and advocacy.

His specific expertise is in advising on money laundering (including corruption), regulatory and compliance investigations, disputes in the banking, trusts and funds sectors, sanctions, production orders including TIEA work, insider dealing, reporting duties, asset recovery, reciprocal enforcement, cyber-related risk and international mutual assistance generally. He places particular emphasis on working alongside clients and their in-house lawyers/compliance staff and other external advisers to implement risk management-based solutions to disputes in the regulated sector. He is experienced in politically sensitive and complex matters involving multiple legal issues and jurisdictions. He often advises on higher-risk business in the financial services regulated sector, whether that is in client take-on, transactional support or M&A support.

He is a member of the Royal Court Rules Committee advising and assisting the Royal Court in its rule making capacity.