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UK Conduct Regulator Concludes No Changes Needed to Banking Senior Managers Regime

A&O Shearman on 8/16/2019

The U.K. Financial Conduct Authority has published the findings of its review into the implementation of the Senior Managers and Certification Regime for the banking sector. The SM&CR came into force for banking firms in...more

Financial Daily Dose 6.5.2019 | Top Story: SEC Votes Today on New Broker Conduct Standards

Robins Kaplan LLP on 6/5/2019

The SEC will vote today on what it’s calling Regulation Best Interest, “which says brokers can’t put their own paychecks ahead of a customer’s needs”—the more-industry-acceptable revision of an Obama-era fiduciary duty rule...more

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Brokers › Code of Conduct

UK Conduct Regulator Concludes No Changes Needed to Banking Senior Managers Regime

Financial Daily Dose 6.5.2019 | Top Story: SEC Votes Today on New Broker Conduct Standards

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