The Financial Conduct Authority’s (FCA) latest survey issued to certain regulated firms suggests that tackling non-financial misconduct remains a key strategic priority for the UK regulator. This comes hot on the heels of...more
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
12/22/2023
/ Banking Sector ,
Corporate Culture ,
Corporate Governance ,
Data Protection ,
Diversity ,
Diversity and Inclusion Standards (D&I) ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Prudential Regulation Authority (PRA) ,
Risk Management ,
UK
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
12/14/2023
/ Bullying ,
Diversity and Inclusion Standards (D&I) ,
Employee Misconduct ,
Employees ,
Employer Liability Issues ,
Enforcement Actions ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
International Labor Laws ,
Proposed Rules ,
Prudential Regulation Authority (PRA) ,
Senior Managers ,
Sexual Harassment ,
UK
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
12/13/2023
/ Banking Sector ,
Code of Conduct ,
Diversity ,
Diversity and Inclusion Standards (D&I) ,
Employee Misconduct ,
Employees ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Internal Investigations ,
Prudential Regulation Authority (PRA) ,
Regulatory Requirements ,
Senior Management Regime (SMR) ,
SMCR ,
UK