Non-financial misconduct and the UK Senior Managers and Certification Regimen -
The old adage goes that, “What happens in Vegas, stays in Vegas.” But, does this really hold true in the UK financial services sector?...more
5/21/2019
/ #MeToo ,
Duty to Disclose ,
Employment Tribunals ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Non-Disclosure Agreement ,
Personal Liability ,
Regulatory Standards ,
Risk Management ,
Senior Management Regime (SMR) ,
Settlement ,
Sexual Harassment ,
UK
Firms should consider the implications for their existing anti-market abuse controls and should consider responding to the consultation either directlyor through a relevant industry body.
On 5 April 2018, we reported in an...more
MiFID II, which is a package of measures consisting of a revised Directive (the Markets in Financial Instruments Directive), a new regulation (the Markets in Financial Instruments Regulation) and subsidiary implementing...more
In March this year the PRA and the FCA introduced the Senior Managers Regime (‘SMR’) for individuals associated with banks and PRA regulated investment firms (from 2018 the SMR will apply to all UK authorised firms). The...more