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FCA concerned about conflicts of interest at firms managing private assets
Dear CEO letter to asset managers also highlights market integrity and consumer outcomes as key supervisory priorities.
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What are boards looking for from general counsel?
Five key areas GCs should focus on when addressing the board, with insights from Nicola Williams, partner and formerly GC, legal and compliance director and company secretary for Welsh Water.
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Your essential checklists for Consumer Duty Best practice Board reports
Checklists for firms to reflect on whether their annual Board report and RCA processes are aligned with the FCA’s ideas of best practice.
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Clean claims or dirty lies? The battle against corporate washing
Washing risks can lead to loss of reputation, loss of stakeholder trust and goodwill, employee brand damage, and costly legal/regulatory action.
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Barclays fined £40m over ‘reckless’ 2008 Qatar fundraising
Mark Taylor of Ibex Compliance identifies the key learning points from the FCA’s action against Barclays Bank.
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Gensler speech offers a look back at 2024 rulemaking
Gary Gensler spoke of how his agency has updated the securities laws to promote US capital markets and spur economic success.
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XLOD London 2024: Assessing the risk and control landscape for 2025
The first of a series of reports from XLOD London features a panel discussion with experts from Standard Chartered, Lloyds Bank, and Citigroup.
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Data quality issues persist at firms according to the FCA
The regulator praises firms for improving the quality of transaction reporting, but points to continuing or recurring reporting issues.