Kate Pumfrey

A&O Shearman

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Latest Posts › Regulatory Requirements

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UK FCA plans for tackling non-financial misconduct: Next steps

The UK Financial Conduct Authority (FCA) has published its next steps to address non-financial misconduct within the financial services sector. With the publication of Consultation Paper CP25/18, the FCA signals its ongoing...more

7/8/2025 / Code of Conduct , Employees , Employer Responsibilities , Financial Conduct Authority (FCA) , Financial Services Industry , New Guidance , Proposed Rules , Regulatory Requirements , UK , Workplace Harassment Guidance

UK bankers’ remuneration reform: MRT proposals in focus

PRA and FCA proposals to revamp bankers’ remuneration rules would reduce the number of in-scope material risk takers (MRTs), while enabling more MRTs to benefit from proportionality exclusions. Banks would have greater...more

2/6/2025 / Banking Sector , Compensation & Benefits , Corporate Governance , Financial Conduct Authority (FCA) , Financial Regulatory Reform , Prudential Regulation Authority (PRA) , Regulatory Requirements , Remuneration , Risk Management , UK

Operating Management Incentive Plans (MIPs) globally: key issues

In the dynamic landscape of global private equity, MIPs are a crucial tool for attracting, retaining, and motivating executive talent. In this article, we highlight key issues and practical tips for companies planning to...more

12/11/2024 / Compliance , Corporate Governance , Employer Liability Issues , Investment , Investors , Jurisdiction , Private Equity , Private Equity Firms , Private Equity Funds , Regulatory Agenda , Regulatory Requirements , Remuneration , Securities Regulation

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