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 Amid Allegations
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.
The FINRA Rule 2010, Explained
Gain clarity and confidence in navigating the regulatory landscape with Global Relay's comprehensive guide to FINRA Rule 2010. Unravel the intricacies of this foundational rule, understanding its implications for ethical conduct within the financial industry.
Regulatory Wrestling – The Compliant Culture Smackdown: Blow by Blow
Pull up your ringside seat and re-live the rumble with our blow-by-blow breakdown of Regulatory Wrestling – The Compliant Culture Smackdown.
Is the FCA becoming the ‘Financial Culture Authority’?
A recent speech from the FCA has highlighted culture as an area that organizations need to prioritize. Do rules like the upcoming Consumer Duty indicate that the FCA will be prioritizing culture when it comes to regulatory scrutiny?