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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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China Rise Securities Conduct Failures & Monitoring Conflicts of Interest

The Hong Kong Securities and Futures Commission (SFC) recently sanctioned a former chief executive officer of China Rise Securities Asset Management Company and suspended its head of dealing for inappropriate standards of conduct and breaching of the Code of Conduct.

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