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 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.
Will CFTC self-reporting incentive create a self-regulating industry?
The CFTC has announced that firms meeting high levels of self-reporting, cooperation, and remediation with the regulator could see any financial penalties for misconduct reduced by up to 55%.
The Conduct Chronicles – Fast and furious: The Regulatory Hazards of Fast Growth
While rapid growth can signal success, without proper governance and risk management, it can quickly spiral into regulatory trouble. This edition of The Conduct Chronicles explores how companies scaling too fast often face compliance failures, consumer backlash, and heightened scrutiny.
What does the data of 12,000 financial organizations reveal about industry trends?
On February 5, 2025, we were joined by a panel of compliance and surveillance experts to explore top compliance trends, answering questions including whether the FCA is complicating compliance, how AI is being used for surveillance, and if conduct and culture should be high on firm’s agendas.
On Demand: Compliance & Conversation – Culture shock: A fireside chat on cultural compliance challenges
Watch on-demand and learn how effective supervision and facilitating an open dialogue with staff is key to ensuring a compliant culture.
Compliance & Conversation: Culture Shock: How cultural challenges are reshaping financial regulation
On February 5, 2025, we hosted a fireside chat that revealed key insights into the key features of a compliance culture and how regulation can prevent growth rather than encourage it.
Culture is contagious: Is surveillance your first defense?
The FCA has doubled-down on its focus on conduct and culture, noting that it will be taking direct action against firms that do not have controls to detect misconduct.
The Conduct Chronicles – ‘Lessons from the Farage Bank Account Furore’
Emma Parry reviews the Farage bank closure as a signal for banks to ensure they have proper data retention tools in place, clear rationales and compliance with Consumer Duty obligations to ensure they are prepared for any regulator investigations and good consumer outcomes.