Non-financial misconduct and the UK Senior Managers and Certification Regimen -
The old adage goes that, “What happens in Vegas, stays in Vegas.” But, does this really hold true in the UK financial services sector?...more
5/21/2019
/ #MeToo ,
Duty to Disclose ,
Employment Tribunals ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Non-Disclosure Agreement ,
Personal Liability ,
Regulatory Standards ,
Risk Management ,
Senior Management Regime (SMR) ,
Settlement ,
Sexual Harassment ,
UK
The UK is due to leave the European Union on March 29, 2019 (“Brexit”). Within the EEA, “passport rights” permit financial services institutions and funds authorised in any EEA Member State to conduct business cross border...more
2/26/2019
/ EU ,
EU Passport ,
European Economic Area (EEA) ,
Financial Services and Markets Act ,
Financial Services Industry ,
Payment Services Directive ,
PSD2 ,
Temporary Permissions Regime (TPR) ,
UCITS ,
UK ,
UK Brexit