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Financial Conduct Authority (FCA) Corporate Officers Prudential Regulation Authority (PRA)

BCLP

Personal Matters - How will the risks to firms from individuals’ behaviour increase in 2024?

BCLP on

Financial regulators in the UK have been interested for some years in the question of how personal behaviour can affect the risk profile of a financial institution. A recent SEC case suggests that US regulators may now be...more

Latham & Watkins LLP

FCA Issues Guidance on Key Workers in Financial Services

Latham & Watkins LLP on

The FCA has clarified which people working in regulated financial services firms will meet the definition of a “key worker”. On 19 March 2020, the UK government published guidance setting out which “key workers” will be...more

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