The new administrative sanctions regime

• Identify possible infractions under the funds law as well as potential offenders
• Understand the types of sanctions that can be applied by the regulatory authority
• Understand the timeline and steps of a regulatory investigation
• Understand potential causes and triggers for a regulatory investigation potentially giving rise to administrative sanctions
• Identify appropriate answers to the regulator’s questions and requests as well as a list of do’s and don’ts in the context of a regulatory investigation
• Identify key points for a crisis management plan
• Identify forms of appeal against a decision to sanction an entity or an individual

This 3-hour course gives you more insight into the possible infractions under funds laws as well as the organisations and functions which could be subject to a sanctions procedure. It also details the timeline and steps of a regulatory investigation and provides an analysis of the various processes which can trigger a regulatory investigation giving rise to a sanctions procedure.

In addition, the course also maps out the process for responding to the regulator in the context of an administrative procedure as well as the various remedies and options available in the case of such a procedure, including various forms of appeal that can be made against an administrative decision.