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Latest News
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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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Podcast: Mitch Hubble from Pathlight Associates on Skilled Person Reviews
We spoke about Mitch’s work in an FCA-approved Skilled Person Review panel firm, client experience, best practice and the Consumer Duty.
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How wealth managers can avoid misconduct and protect consumers
A year on from the FCA’s Dear CEO “warning shot” to wealth managers on consumer duty and financial crime, we look at how firms can meet these revised expectations.
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Experts unplugged: Compliance and HR in the second line of defense – a new paradigm
The first in a series of articles based on an extended dialogue between compliance and surveillance veterans Emily Wright and Rob Mason.
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Non-financial misconduct survey signals data-driven approach by FCA
Ashurst webinar highlighted key survey results, discussed potential data challenges and suggested actions for firms.
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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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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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The DOJ revises Evaluation of Corporate Compliance Programs to spotlight new tech
Changes to the document mainly emphasize emerging technologies and data analytics.