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Former Chief Executive of bank fined for failing to take “reasonable steps”

The UK Prudential Regulation Authority (PRA) has fined the former CEO of Wyelands Bank GBP118,808 for various regulatory breaches, including that he failed to take reasonable steps to ensure the business for which he was...more

FAQs: UK FCA consults on plans to publicise investigations and amend its Enforcement Guide

By now, you may have heard that the UK Financial Conduct Authority (FCA) is consulting on changes to its approach to publicising enforcement investigations, as well as other changes to its Enforcement Guide. If they come into...more

D&I in FS: how to get a head-start on the FCA and PRA proposals

This is the last post in our series on the UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) proposals to introduce a new regulatory framework on diversity and inclusion (D&I) in the financial...more

UK regulators expectations on governance and DI within financial services firms

The recent proposals from the UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) on diversity and inclusion (D&I) include proposals in respect of governance and oversight within in-scope firms....more

D&I as a non-financial risk: considerations for control functions

Proposals from the UK financial regulators aimed at improving diversity and inclusion (D&I) in the UK financial services sector include an explicit expectation for all in-scope firms to consider a lack of D&I as a...more

UK FCA’s new package of sustainability disclosure requirements, labelling rules and anti-greenwashing rule

The Financial Conduct Authority’s (FCA) new package of sustainability disclosure requirements (SDR) and investment labelling rules is a key pillar of the UK government’s efforts to introduce an economy-wide SDR regime. All...more

Governance and D&I: what the UK regulators expect from financial services firms

The UK financial services regulators’ latest proposals for improving diversity and inclusion (D&I) have implications for the governance and oversight arrangements of in-scope firms. Building on existing requirements, the...more

FAQs – FCA consultation on anti-greenwashing guidance, plus final rules on Sustainability Disclosure Requirements (SDR) and ESG...

The FCA has issued the final version of its rules for stage one of the UK’s new Sustainability Disclosure Requirements or SDR, together with its new ESG product labelling regime. The rules are detailed and complex. The new...more

UK FCA and PRA proposals for improving D&I: Senior Manager responsibility and oversight

The latest proposals for improving diversity and inclusion in the UK financial services sector, published by the Financial Conduct Authority and Prudential Regulation Authority, include changes that will impact Senior Manager...more

DI in FS - senior management responsibilities and oversight

The Financial Conduct Authority (FCA) and Prudential Regulation Authority’s (PRA) recent proposals demonstrate a divergence in approach when it comes to individual accountability and expectations of senior management in...more

UK Financial Conduct Authority proposes new rules and guidance on non-financial misconduct

The UK Financial Conduct Authority's consultation on diversity and inclusion (D&I) in financial services proposes new rules and guidance on identifying and taking action in relation to non-financial misconduct such as...more

D&I in FS: new rules and guidance on non-financial misconduct

The FCA is focused on reducing non-financial misconduct to enhance the reputation of the UK financial services sector. Spurred on by positive levels of engagement with its 2021 discussion paper, the FCA’s latest consultation...more

FCA launches guidance consultation on anti-greenwashing rule

The FCA has issued the final version of its new anti-greenwashing rule – part of a package that includes additional rules as stage one of the UK’s new Sustainability Disclosure Requirements or SDR, plus the FCA’s new ESG...more

Tracking and improving inclusion in financial services: practical challenges and how to navigate them

The latest UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) proposals for improving diversity and inclusion in financial services include requiring firms to report on six new inclusion metrics....more

D&I in FS: practical considerations for designing and implementing an inclusive culture

Developing and maintaining an inclusive environment is crucial for realising the benefits of having a diverse organisation. With this in mind, the UK Financial Conduct Authority (FCA) and UK Prudential Regulation Authority...more

D&I in financial services: UK proposals for mandatory data reporting and public disclosure

Post six in our blog series on the UK Financial Conduct Authority and Prudential Regulation Authority proposals to improve diversity and inclusion (D&I) in UK financial services considers the D&I data firms would be required...more

FCA and PRA DI Proposals - Balancing data protection considerations against D&I reporting duties

The latest post in our blog series looking at the UK Financial Conduct Authority and Prudential Regulation Authority proposals to improve diversity and inclusion (D&I) in the financial services industry focusses on data...more

D&I disclosures: what D&I information will the UK regulators expect financial services firms to disclose?

The UK financial services regulators’ proposals for creating a new regulatory framework for diversity and inclusion (D&I) in financial services include proposals that in-scope firms report various aspects of their D&I data on...more

D&I in FS: Data protection and D&I reporting

The UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) are consulting on proposals to introduce a new financial services regulatory framework on diversity and inclusion (D&I) in the financial...more

Setting D&I targets: what the UK regulators expect from financial services firms

The UK financial services’ regulators have introduced new proposals on setting diversity and inclusion (D&I) targets by firms. These proposals aim to address underrepresentation of particular demographics within firms and the...more

What the UK regulators’ proposals mean for D&I strategies in financial services firms

The UK financial services regulators’ latest proposals for improving diversity and inclusion (D&I) include detailed proposals in respect of in-scope firms’ D&I strategies. The proposals, if implemented, would represent a...more

FCA and PRA consultation on D&I in financial services: which firms are captured and how

The extent to which firms are captured by the UK Financial Conduct Authority (FCA) and Prudential Regulation Authority’s (PRA) proposals to implement a new regime for diversity and inclusion (D&I) in financial services...more

A new regulatory framework for D&I in financial services: overarching themes and trends

The UK financial regulators’ proposals for creating a new regulatory framework for diversity and inclusion (D&I) in financial services are wide-ranging and detailed but have at their heart a few consistent themes. ...more

New blog series: deep dive into the FCA and PRA proposals for D&I in financial services

The UK financial services regulators are setting out to move the dial when it comes to diversity and inclusion (D&I) in the financial services sector. D&I strategies, targets and disclosures are all included in their new...more

Greenwashing in sustainable finance – key takeaways from EU developments

There are useful takeaways for EU and non-EU firms arising from the European Supervisory Authorities’ (ESA) latest thinking on greenwashing. In June 2023, the ESAs issued progress reports examining greenwashing risks and...more

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