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NSCP 2024: Off-channel communications the focus of discussions
NSCP conference participants discussed recordkeeping enforcement actions, policy recommendations, and predictions about future enforcement patterns.
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FCA publishes results of first non-financial misconduct survey
Regulator hopes that industry will learn from the survey and work toward better outcomes. We highlight some key areas to start the conversation.
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Mental health triggers and finance documents – are creditors reading the room?
By adopting a compassionate and flexible approach to mental health triggers, it’s possible to create a more supportive financial system.
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How to implement new duties to prevent sexual harassment at work
From October 26, UK employers must take reasonable steps to prevent sexual harassment of their workers, including by third parties.
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OPINION: Amazon CEO risks striking a wrong note in bold memo on workplace culture, WFH
Andy Jassy’s note to staff about a couple changes he’s making at Amazon “to further strengthen our culture and teams” raises questions.
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BofA accused by whistleblower of sharing nonpublic information
The bank’s own policy mandates a cooling-off period of two-to-four weeks if bankers speak for any reason to investors that might participate in the deal.
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The most important metric
So many stories in financial services are less pilgrim’s progress than road to perdition, says Carroll Barry-Walsh.
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On the importance of keeping an open mind
When carrying out an investigation, it can be too easy to lose sight of the bare facts, says Carroll Barry-Walsh.