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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.
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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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Podcast: Emma Parry on conduct risk, whistleblowing and “speak-up” culture
We spoke to Emma Parry about her role as an expert witness in a high court case, her experience as head of global conduct risk and the fallout of recent whistleblowing cases.
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FCA work in review April 15 – May 17, 2024
It’s been a relatively quiet period as far as FCA announcements go, so the latest in our regular series of roundups covers a month.
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Podcast: Agnes Foy and Jean Hurley on NFM, 2024 elections, and City culture
Lawyer Agnes Foy and GRIP’s Jean Hurley on the trouble with UK City culture, upcoming elections, AI regulation, and why NDAs are often unenforceable.