The Conduct Chronicles – The Emerging Risks of LinkedIn
As social media opens up new avenues of communication, businesses face a new set of challenges. From possibilities of insider trading to investment scams, firms must take the necessary precautions to mitigate these potential risks.
Regulatory Wrap episode 56: FCA pivots on “name and shame”
In Regulatory Wrap for the week to March 21, Kathryn Fallah discusses the FCA’s decision to axe its controversial “name and shame” proposal.
Regulatory Wrap episode 55: Catching the culture bug
In Regulatory Wrap for the week to March 14, Rob Mason reviews an FCA speech on culture's ability to spread within an organization.
FCA bans Crispin Odey as non-financial misconduct focus grows
With the FCA taking action against Crispin Odey, a controversial hedge fund manager who has been the subject of serious misconduct allegations, it seems the regulator is keeping its word on prioritizing non-financial misconduct.
The Conduct Chronicles – Conduct and Culture: Insights from the US Record Keeping fines
Culture is determined by more than just 'tone from the top', it requires ongoing effort and investment. Firms should also look to celebrate good behavior, and ensure incidents of bad behavior are being escalated.
MCOB: mortgages and home finance conduct of business
The UK mortgages and home finance industry has seen significant shifts since the pandemic, notably with interest rates rising and new AI developments for affordability decision-making.
On Demand: Is conduct and culture the next regulatory priority?
Watch on demand as our expert panel discuss the increasing significance that regulators are placing on a cultivated “culture of compliance" in the U.S.
Regulatory Wrap Episode #46: The FCA’s Survey on Non-Financial Misconduct
In Regulatory Wrap for the week to October 25, Jennie Clarke discusses regulatory views on finfluencers and their role in financial promotion.
Are conduct and culture moving up U.S. regulators’ agendas?
Activities from U.S. financial regulators over past months have shown increased attention around conduct and culture, signaling a shift that suggests these themes are becoming more of a defined priority.
Regulatory Wrap Episode 35: CFTC Commissioner Pham Calls for Reform
In Regulatory Wrap for the week to July 12, Jay Hampshire reviews CFTC Commissioner Caroline Pham’s statement on misconduct within the CFTC.
The “Senior Managers and Certification Regime” Explained
The Senior Managers and Certification Regime introduces added accountability measures for financial firms related to individual conduct to strengthen governance, improve culture, and protect market integrity.