In this Master Class Patrick Ploeger, Kees Groffen & Angelique Groen-Boon will focus on how supervision and enforcement by both the AFM and DNB are continuously evolving. The regulators' focus ranges from integrity and boardroom behaviour, to compliance with anti-money laundering rules and sanction regimes. At the same time, formal action continues to decline while "informal enforcement" is on the rise. During this Master Class, Patrick, Kees and Angelique will also examine emerging supervision and enforcement trends and discuss the implications for financial institutions. Issues that we will cover include:
- Can regulators impose various forms of self-assessment and use these in formal enforcement actions later on?
- What are the experiences with the revised publication regime of enforcement actions and how does this affect the relationship with the regulators?
- What to make of the AFM pilot examining the option of out-of-court settlements in certain formal enforcement actions?
The Master Class session will be in English, and will be held via Microsoft Teams.
Date, time and location
This Webinar Master Class will be held on Tuesday, 29 June from 09:00 to 10:30.
Please note that our Master Classes are invitation only.