Almost a decade after the introduction of the Senior Managers & Certification Regime (SMCR) and Conduct Rules, financial services organisations continue to face significant challenges in implementing and reporting on these critical aspects of conduct regulation. The FCA is strengthening and expanding regulations for non-bank firms and its Conduct Rules to explicitly cover serious non-financial misconduct, including bullying, harassment, and sexual violence, as a breach of conduct.
But other sectors are also impacted. Regulation underpins and impacts almost all areas of the UK economy. The UK regulatory system has great strengths, built on a firm foundation of operational independence and stability, and other countries have drawn lessons from UK approaches.
In this special workshop, led by the ACi, Richardson Lissak and FTI Consulting, we will explore all the issues and challenges around regulatory investigations, and give delegates practical tips and insightful tools to take away.
The Highest Standard in Corporate Investigations Training
🎯 Practical, Not Theoretical
Move beyond theory with hands-on case studies based on real-world scenarios. Learn through immersive, bespoke case studies that mirror actual regulatory investigations.
📊 Comprehensive Coverage
From regulatory fundamentals to advanced investigation management, this intensive one-day workshop covers everything you need to confidently tackle investigations of regulatory significance.
🤝 Cross-Functional Insights
Understand how to collaborate effectively with legal counsel, HR, Employee Relations, and Regulatory Relations throughout complex investigations.
⚡ Cutting-Edge Topics
Stay ahead of 2026 regulatory priorities including Crypto, AI, APP fraud, voluntary outcomes, and the evolving landscape of financial crime enforcement.
Who Should Attend
This workshop is designed for professionals who need to navigate the complexities of regulatory investigations in UK financial services:
In-House Investigators
Primary target audience – gain the skills and knowledge to confidently manage regulatory investigations
External Investigators
Consultants and advisors supporting financial services firms with regulatory matters
HR & Employee Relations
Professionals managing conduct issues with regulatory implications
Regulatory Relations
Teams responsible for liaising with FCA, PRA, and other regulators
Compliance Officers
Professionals ensuring adherence to SMCR and Conduct Rules
Legal Counsel
In-house and external lawyers advising on regulatory investigations
What Makes This Workshop Unmissable
1. “No Person Left Behind” Approach
Starting with regulatory fundamentals before diving into complex topics ensures all participants gain comprehensive understanding, regardless of their current knowledge level.
2. Real-World Case Study Methodology
The afternoon session uses a single, evolving case study that brings theory to life. Facts are adjusted from topic to topic, demonstrating how minor changes can create vastly different regulatory implications and investigation strategies.
3. First-Hand Expert Perspectives
Learn from practitioners with proven track records managing complex regulatory investigations across multiple jurisdictions and regulators.
4. Timely and Forward-Looking Content
With the 2026 extension of Conduct Rules to non-bank firms approaching, this training provides critical preparation for upcoming regulatory changes that will affect thousands of additional firms and individuals.
5. Practical Investigation Management Skills
Beyond regulatory knowledge, gain actionable skills in resourcing, planning, tracking, stakeholder management, and effective communication with regulators.
6. Understanding Multiple Regulatory Perspectives
Navigate the different approaches of FCA, PRA, SFO, HMRC, CMA, and OFSI – understanding how cooperation and leniency frameworks vary across regulators.
7. Data and Technology Focus
Learn how regulators increasingly rely on data-led investigations and technology-driven surveillance, and how to meet their expectations for data integrity and presentation.
8. Networking Opportunities
Connect with peers facing similar challenges, share insights, and build relationships within the ACi’s global investigative community.
