An Overview of Conduct, Culture and Accountability Regimes The ASIFMA Compliance Week focused on various relevant topics for Compliance professionals, from... READ MORE
FCA Business Plan 2021/22 Focuses on ESG Risks and Market Abuse The UK Financial Conduct Authority (FCA) 's 2021-22 Business Plan was published on 15 July 2021 and... READ MORE
Overview of FCA Principles for Business The Financial Conduct Authority (FCA) is the conduct regulator for nearly 60,000 financial services... READ MORE
Time To Get Serious About SMCR in the Context of Climate Change In April 2019, the Prudential Regulation Authority (PRA) sent a letter to CEOs highlighting its... READ MORE
Singapore: MAS Guidelines on Individual Accountability and Conduct The Monetary Authority of Singapore (MAS) released its guidance on the 10th September 2020 on the... READ MORE
What Spooked Compliance Officers this year 2020 has been a scary year and there have been a few things that have spooked the most experienced... READ MORE
FCA Consults on Extending SMCR Deadlines The FCA is consulting on extending the deadlines for the SMCR for solo-regulated firms until 31... READ MORE
FCA Priorities for the Year Ahead The FCA has stated that a primary focus in 2020 is to mitigate the impact of Covid-19 on the... READ MORE
Regulators Expectations of Institutional Governance You might have asked yourself “what governance expectations do regulators have?”. Well, regulators... READ MORE
