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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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GRIP’s ‘most read’ contributed stories in 2024
Compliance and legal professionals will remember 2024 as a year of considerable regulatory activity, major developments in technology, and the inevitable, routine mistakes.
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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.