-
Compliance & Conversation: The culture club
Leading figures from financial services discussed some of the pressing issues of the day including: conduct and culture, AI, recordkeeping and surveillance.
-
Culture is everyone’s responsibility says HSBC’s Caoimhe Benmaou
HSBC’s global head of risk frameworks discussed the board’s role in developing and driving a strong ethical culture at the City & Financial Summit in London.
-
FCA COO Emily Sheppard stresses the contagious nature of culture
Senior official explains why the FCA is updating rules and guidance on non-financial misconduct.
-
Experts unplugged: Ensuring senior management follows the rules
This series of articles is based on an extended dialogue between compliance and surveillance veterans Emily Wright and Rob Mason.
-
GRIP Extra: Predictions of deregulation in US, corporate culture problems in Australia
Other news includes restrictions on AI chips going to China, Spanish floods have significant impact on insurers and TikTok’s Canadian entity shuttered.
-
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.
-
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.
-
The DOJ revises Evaluation of Corporate Compliance Programs to spotlight new tech
Changes to the document mainly emphasize emerging technologies and data analytics.