News & Analysis as of

Ethics Financial Conduct Authority (FCA)

Akin Gump Strauss Hauer & Feld LLP

FCA and PRA Publish Consultation on New Rules relating to Non-Financial Misconduct

Key Points - Following a joint Discussion Paper in 2021 issued by the FCA and the PRA, both regulators have now issued Consultation Papers proposing new rules and guidance in relation to diversity and inclusion in the...more

NAVEX

Ethics, Risk and Compliance Roles in the U.K. – Part 1

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We were delighted to interview Kevin Parle – Fellow of the International Compliance Association (ICA) and Deputy Chair of the Data Protection Forum – for insights and observations of whistleblowing roles within U.K....more

Latham & Watkins LLP

FCA Breaks Ranks in Its Approach to Using Wholesale Data

Latham & Watkins LLP on

A Call for Input reveals that the FCA is planning for a post-EU future and examining ethics with regard to MAR. On 9 March 2020, the Financial Conduct Authority (FCA) issued a Call for Input on the way that wholesale...more

A&O Shearman

UK Conduct Regulator Consults on Firms' Treatment of Vulnerable Consumers

A&O Shearman on

The U.K. Financial Conduct Authority has launched a consultation on its proposed guidance on how financial services firms should treat "vulnerable" consumers. The consultation will be divided into two stages: the first stage...more

Latham & Watkins LLP

Transforming Culture in Financial Services - The FCA Renews Its Approach

Latham & Watkins LLP on

New FCA Discussion Paper demonstrates how the regulator’s thinking in relation to culture has evolved. Introduction - In Discussion Paper (DP) 18/2, the FCA has taken an unusual approach to a topic that has received...more

NAVEX

UK Financial Services Whistleblowing Regulation Survey: Assessing The Impact Of The FCA/PRA Senior Managers Regime Whistleblowing...

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NAVEX Global partnered with an independent research firm to survey compliance professionals from the UK Financial Services industry about their approach to whistleblowing and incident reporting. Our findings provide insight...more

NAVEX

9 Ways Brexit May Affect UK Compliance Regulations

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After the UK’s momentous vote to leave the European Union, the country faces two years of exit negotiations and the re-drawing of regulations. So what might Brexit mean for ethics and compliance in the UK?...more

NAVEX

The New FCA Whistleblower Rules: What You Need to Know

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In October 2015 the Financial Conduct Authority (FCA), alongside the Prudential Regulation Authority (PRA), published new rules in relation to whistleblowing channels in banks and other financial institutions to encourage a...more

NAVEX

Addressing the New U.K. Senior Managers’ Regime with Proven Compliance Solutions

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It’s less than a year to go until the U.K. Senior Managers Regime (SMR) comes into effect (the official date is March 7, 2016). The regime, part of the Financial Services (Banking Reform) Act 2013, aims to counter the toxic...more

Burr & Forman

Lessons of the Deutsche Bank Story

Burr & Forman on

Deutsche Bank, a German lender agreed to plead guilty and pay $2.5 billion to settle with regulators in the United States and the United Kingdom in connection with criminal charges that it rigged and manipulated the London...more

Thomas Fox - Compliance Evangelist

John Bell Hood and the Measurement of Conduct Risk

Readers of this blog know I am huge Civil War buff. Growing up in Texas, I only focused on the Southern side as a youngster and while this led to a sometime myopic view of events, in my mid-20s when I did begin to study the...more

NAVEX

2014 Trends: #3 Whistleblowing and Retaliation: Both on the Rise

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A continuation of our recent coverage on ethics and compliance trends to watch in 2014, we’re taking a deeper look at whistleblowing and retaliation trends today. ...more

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