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Code of Conduct › Compliance › Financial Conduct Authority (FCA)

Proskauer - Regulatory & Compliance

Bullying, harassment and violence set to be conduct issues under new FCA Rule

Proskauer - Regulatory & Compliance on

Bullying, harassment and violence set to be conduct issues under new FCA Rule - The Financial Conduct Authority (the “FCA”) recently published its Policy Statement and Consultation on non‑financial misconduct (“CP25/18”). ...more

Latham & Watkins LLP

FCA Warns of ‘Significant Weaknesses’ in Firms’ Implementation of the Conduct Rules

Latham & Watkins LLP on

All firms should take note of the FCA’s latest feedback on SMCR implementation. In its latest piece of feedback on firms’ implementation of the SMCR, the FCA indicated that firms must improve their implementation of the...more

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