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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.
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Experts unplugged: FCA non-financial misconduct survey
This series of articles is based on an extended dialogue between compliance and surveillance veterans Emily Wright and Rob Mason.
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DFSA fines former private banker $980,020 for misleading and deceptive conduct
The Dubai financial services regulator has now banned him from holding office or being employed by a DFSA-authorized firm.
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Compliance & Conversation: Making the most of SMCR
Seung Earm and Mark Taylor discussed the Senior Managers & Certification Regime at Global Relay’s gathering of compliance professionals.
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Pragmatic and enabling: FCA’s Jamie Bell explains role regulator wants to play
Regulation chief gives a flavour of the thinking behind the FCA’s approach in conversation in front of senior professionals.
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Podcast: Ann Chaglassian on managing conduct risk in today’s workplace
A CCO’s perspective on fostering good conduct.
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10 things you need to know about the EU consumer credit overhaul
At the EU level, there are changes on the horizon in relation to the Consumer Credit framework.
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View from the chair: Staley case may clarify FCA Conduct Rules
In his regular column, Bovill’s Executive Chair Ben Blackett-Ord discusses how the Upper Tribunal will establish case law on ICR and SMCR.