News & Analysis as of July 29, 2025

Code of Conduct › Compliance › United Kingdom

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The FCA's Developing Approach to Nonfinancial Misconduct by Individuals in the Financial Services Sector

K&L Gates LLP on 7/18/2025

On 2 July 2025, the United Kingdom (UK) Financial Conduct Authority (FCA) published a Consultation Paper and Policy Statement (CP25/18) on tackling non-financial misconduct in financial services....more

[Virtual Event] Compliance & Ethics Essentials Workshop - December 2nd - 5th, 8:00 am - 5:00 pm CT

Society of Corporate Compliance and Ethics... on 9/9/2024

Learn the key principles of compliance - no travel required! If you’re new to or have minimal experience in compliance management don’t miss this opportunity to build the foundational knowledge you need! SCCE’s four-day...more

[Virtual Event] Compliance & Ethics Essentials Workshop - October 16th - 19th, 11:55 am - 6:30 pm CET

Society of Corporate Compliance and Ethics... on 7/11/2023

SCCE’s four-day Compliance & Ethics Essentials Workshop provides comprehensive education on the core elements of a compliance program. The curriculum is ideal for those new to or with little experience in compliance, as well...more

[Virtual Event] Compliance & Ethics Essentials Workshop - September 18th - 21st, 9:00 am - 2:30 pm CT

Society of Corporate Compliance and Ethics... on 6/13/2023

SCCE’s four-day Compliance & Ethics Essentials Workshop provides comprehensive education on the core elements of a compliance program. The curriculum is ideal for those new to or with little experience in compliance, as well...more

[Virtual Event] Compliance & Ethics Essentials Workshop - May 15th - 18th, 8:55 am - 3:30 pm CT

Society of Corporate Compliance and Ethics... on 3/23/2023

SCCE’s four-day Compliance & Ethics Essentials Workshop provides comprehensive education on the core elements of a compliance program. The curriculum is ideal for those new to or with little experience in compliance, as well...more

[Virtual Event] Compliance & Ethics Essentials Workshop - August 8th - 11th, 8:55 am - 3:30 pm CDT

Society of Corporate Compliance and Ethics... on 7/1/2022

SCCE’s Compliance & Ethics Essentials Workshop provides a comprehensive introduction to the elements of a compliance program to enable attendees to be a more effective member of the compliance team. The workshop is ideal for...more

[Virtual Event] Compliance & Ethics Essentials Workshop - May 9th - 12th, 8:55 am - 2:30 pm CST

Society of Corporate Compliance and Ethics... on 2/15/2022

SCCE’s Compliance & Ethics Essentials Workshop provides a comprehensive introduction to the elements of a compliance program to enable attendees to be a more effective member of the compliance team. The workshop is ideal for...more

[Virtual Event] Compliance & Ethics Essentials Workshop - December 6th - 9th, 8:55 am - 2:30 pm CST

Society of Corporate Compliance and Ethics... on 10/14/2021

SCCE’s Compliance & Ethics Essentials Workshop provides a comprehensive introduction to the elements of a compliance program to enable attendees to be a more effective member of the compliance team. The workshop is ideal for...more

[Virtual Event] Compliance & Ethics Essentials Workshop - October 18th - 21st, 8:55 am - 2:30 pm CST

Society of Corporate Compliance and Ethics... on 6/7/2021

SCCE’s Compliance & Ethics Essentials Workshop provides a comprehensive introduction to the elements of a compliance program to enable attendees to be a more effective member of the compliance team. The workshop is ideal for...more

[Virtual Event] Compliance & Ethics Essentials Workshop - May 10th - 13th, 8:55 am - 3:30 pm CDT

Society of Corporate Compliance and Ethics... on 2/16/2021

SCCE’s Compliance & Ethics Essentials Workshop provides a comprehensive introduction to the elements of a compliance program to enable attendees to be a more effective member of the compliance team. The workshop is ideal for...more

[Virtual Event] Compliance & Ethics Essentials Workshop - March 1st - 4th, 8:55 am - 3:15 pm CST

Society of Corporate Compliance and Ethics... on 1/21/2021

SCCE’s Compliance & Ethics Essentials Workshop provides a comprehensive introduction to the elements of a compliance program to enable attendees to be a more effective member of the compliance team. The workshop is ideal for...more

[Virtual Event] Compliance & Ethics Essentials Workshop - December 14th - 17th, 8:50 am - 4:00 pm CST

Society of Corporate Compliance and Ethics... on 11/18/2020

SCCE’s Compliance & Ethics Essentials Workshop provides a comprehensive introduction to the elements of a compliance program to enable attendees to be a more effective member of the compliance team. The workshop is ideal for...more

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

Latham & Watkins LLP on 8/5/2019

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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