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Managing culture and conduct: Is your organisation compliant with SMCR?

MCO has partnered with the RegTech Insight Team to bring you a webinar that covers the new challenges for firms regarding the Senior Managers and Certification Regime. A panel of experts from different companies and with different experiences on the implementation of the regime brings an overview of the changes since initial implementation and discuss best practises approach to  Compliance teams to move forward.

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The UK SMCR & Enforcement Investigations

In a recent letter to CEOs, the FCA talked about the importance of robust governance frameworks that allow cultures and values to drive decision-making across the business; and how critical it is for firms to be managed by effective boards with a suitable mix of skills and experience in order to conduct proper oversight of the firms' risks, strategies, policies and controls.

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FCA Compliance to the Market Abuse Regulation

MCO has partnered with CeFPro to deliver a complimentary Webinar to discuss FCA compliance to Market Abuse Regulation: Identifying conflicts to prevent market abuse.

The Market Abuse Regulation states that firms must take all appropriate steps to identify and prevent or manage conflicts of interest between the firm’s employees, managers, and clients. The regulation was created to make financial markets safer and transparent and further maintain market integrity, increase investor protection and encourage global cooperation.

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Managing Conduct Risk and protecting against Market Abuse

Risks might be blindingly obvious once in front of you, but they do not often occur to people beforehand. That is why is so important to understand what conduct risk means, identify the risks and drivers to protect your businesses and ensure markets remain clean.

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