AFB Seminar: What Not to Do with Your Management Information – Regulatory Expectations for Non-UK Banks

Mistakes made in compiling and handling management information (MI) can trigger regulatory penalties and systemic failures and losses at banks.

AFB, in partnership with Simmons & Simmons, invites members to an in-person seminar that will provide expert insights on what constitutes good and effective management information.

Management information, whether anecdotal or quantified, should be active rather than merely reactive. It should address future risks, rather than focusing solely on known problems, and should be acted upon when necessary. This seminar will discuss the key themes below:

• Data governance & security pitfalls
• Regulatory compliance mistakes
• Culture & executive missteps

Who should attend?

This session is intended for those who handle management information within member firms. Given the broad nature of the topic, it is likely to be of interest to other roles and functions, including Compliance, Risk, IT and Operations.

Speaker

Caroline Hunter-Yeats, Partner

Caroline is a leading partner within the Disputes & Investigations team in London, focusing on high-stakes contentious matters and regulatory defence for global financial institutions and asset managers. She is renowned for navigating the most significant threats facing financial firms: ’bet the company’ disputes, complex regulatory enforcement (FCA, PSR), strategic support for Skilled Person Reviews or challenging supervisory engagement, and pre-emptive, governance-focused risk management.

Independent directories praise her as “absolutely first-rate” and “a stand-out partner who adds value,” recognising her as “a leading adviser on FCA Consumer Duty and large-scale investigations, with a strong reputation for representing firms and senior individuals in enforcement actions involving governance, conduct risk, and financial crime.”

Her expertise spans the full contentious lifecycle for financial institutions. She has served on the firm’s Board, International Executive Committee and Partnership Acceptance Committee, and undertaken two partner secondments to major international financial institutions. This deep client-side insight ensures her advice is practical and aligned with business objectives. From 2012–2017, she also led the firm’s eDiscovery team, driving early adoption of artificial intelligence.

Tom Makin, Managing Associate

Tom is a regulatory, governance advisory and contentious regulatory specialist. He is recognised by Legal 500 as a Leading Associate and has the benefit of first-hand experience of PRA enforcement, having spent a year on secondment in the Bank of England’s Enforcement and Litigation Division.  During his secondment Tom helped craft the PRA’s current Approach to Enforcement policy, the PRA’s innovative approach to enforcement with its recent focus on expediting the investigative process and incentivising early admissions with the introduction of the Early Account Scheme.

Tom recently completed a two-year term on the Simmons & Simmons Strategic Advisory Council, a shadow executive board designed to empower the next generation of leaders and provide a platform for innovative ideas. 

Andrew Williams, Senior Consultant

Andrew is a consultant withing the regulatory team in London. He describes himself as a “recovering compliance officer” having spent 25 years at UBS including five years as its Global Chief Compliance Officer and as a statutory director of UBS Limited, the UK Bank in the UBS Group. Earlier in his career he was the EMEA General Counsel at UBS and the company secretary of SG Warburg Group plc. Since leaving UBS, his plural career has included 6 years as one of the legal chairs of the disciplinary tribunal of the Financial Reporting Council, adjudicating primarily on cases of audit failure in relation to public interest institutions (large public companies essentially). He now splits his time between Simmons, a successful executive coaching practice, membership of the disciplinary panel of the London Metals Exchange and lecturing at Zurich University and at the Moeller Institute at Churchill College, Cambridge.

Logistics

Fee:         Included in AFB membership  

Format:    In person at Simmons & Simmons, 1 Ropemaker St, London EC2Y 9SS

Date:        Thursday 2 July 2026

Time:       09:00 – 10:15 (arrivals & breakfast from 08:30)

To submit questions for the session, please email them to the AFB at secretariat@foreignbanks.org.uk. You will receive details on how to join this session a week before the event.