10 For 10: Top Compliance Stories For the Week Ending July 19, 2025
Daily Compliance News: July 15, 2025, The Fighting Workplace Bullying Edition
Everything Compliance: Episode 153, The CW 25 Edition
Compliance into the Weeds: Global Anti-Corruption Leadership
Daily Compliance News: March 18, 2025, The Slack Channel Edition
Podcast — UK FinReg Focus Areas in 2025: Retail Markets
Fintech Focus Podcast | Sanctions Compliance: Regulators Set Their Sights on Fintechs
Sanctions Compliance: Regulators Set Their Sights on Fintechs
Fintech Focus Podcast | The UK Fintech Investment Landscape
The Standard Formula Podcast | Developments on the Horizon for the UK Change-in-Control Regulatory Regime
Brexit & Financial Services: Preparing for the End of the Transition Period
Quick read - It is all but inevitable that UK enforcement agencies will start paying for information about organisational misconduct. In the US, whistleblower reward schemes have generated tens of billions of dollars in...more
In February 2024, the FCA sent a survey to 1,028 wholesale firms (insurers, market intermediaries, banks and brokers) asking about recorded incidents of non-financial misconduct between 2021 and 2023. With a 96% response...more
In the UK, it has not historically been part of the fabric of our legal and regulatory system to pay whistleblowers who provide evidence to authorities who are investigating potential breaches of law or regulation....more
Recent legislative developments in the United Kingdom, public remarks from the new director of the UK Serious Fraud Office (SFO), and recent parliamentary hearings on the Post Office Horizon scandal put a spotlight on...more
In this article, we share a round-up of the key developments from a regulatory perspective for HR Professionals in UK financial services firms. This covers expected changes to the SMCR regime, regulatory remuneration...more
While there are a number of ways in which organizations may become aware of potential wrongdoing internally, perhaps the most significant for its legal and compliance teams is internal reporting, or “whistleblowing,” by...more
We were delighted to interview Kevin Parle – Fellow of the International Compliance Association (ICA) and Deputy Chair of the Data Protection Forum – for insights and observations of whistleblowing roles within U.K....more
Key Points - The SEC and the FCA each publish annual reports, which can offer a useful insight into their enforcement actions. The data in the reports only represents a snapshot of the regulators’ activities, but is...more
Observed every 23 June, World Whistleblowers Day was created by a group of non-governmental organisations to raise public awareness of the rights and protections of whistleblowers, and to tackle global corruption....more
Key Points - The SEC and the FCA each publish annual reports on their enforcement actions. Whilst enforcement data only shows a snapshot of the regulators’ activities, there is much to be learned from these reports,...more
Over the past decade sport globally has had a number of high-profile public scandals, namely in doping and abuse. In the UK, British Gymnastics has been placed under the microscope for reports of abuse; a doping scandal has...more
Under the Senior Managers and Certification Regime (“SMCR”), firms are required to identify and report to the FCA any instances of disciplinary action taken in relation to conduct that would amount to a breach of one of the...more
On 7 October 2019, the Council of the European Union formally adopted a new Directive on the protection of persons who report breaches of Union law. The Directive was published in the Official Journal of the European Union on...more
'Whistleblower' is a widely used term. However, what it means and the protections a whistleblower might receive are by no means universal. Whistleblowers have been a regular presence in the news over recent years, from...more
At our recent Funds First seminar we shared some technical and market issues and updates on the Senior Managers and Certification Regime (SMCR) and the FCA’s current cross-sector focus on culture. This briefing sets out some...more
The Financial Conduct Authority has published its latest report on industry progress made against the "Five Conduct Questions" it poses to wholesale banks in a bid to improve their conduct and culture. The FCA will use its...more
The U.K. Financial Conduct Authority has published the outcome of its review of firms' whistleblowing arrangements. The FCA has reviewed how retail and wholesale banks have implemented its whistleblowing rules by looking at...more
The Financial Conduct Authority has published a Policy Statement introducing final rules on whistleblowing requirements for UK branches of overseas (EEA and third country) banks...more
September 2016 saw the enforcement of new rules by the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) that aimed at increasing confidence amongst financial services employees and encouraging...more
NAVEX Global partnered with an independent research firm to survey compliance professionals from the UK Financial Services industry about their approach to whistleblowing and incident reporting. Our findings provide insight...more
In the years since the financial crisis, the topic of whistleblowing has been high on the public agenda. At the 2016 Anti-Corruption Summit earlier this year, the UK government committed to “providing effective protections...more
New rules on whistleblowing have come into effect which impact certain Financial Conduct Authority (FCA) and Prudential Regulatory Authority (PRA) regulated financial services firms. The aim of these rules is to promote a...more
The Prudential Regulation Authority and the Financial Conduct Authority launched separate consultations on proposals to extend some of their whistleblowing requirements to UK branches of non-EEA banks. The proposals do not...more
Mirroring existing SEC authority, the CFTC’s proposal would allow it to impose sanctions for retaliation against whistleblowers. On August 30, 2016, the US Commodity Futures Trading Commission (CFTC) published proposed...more
The U.K.’s Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) recently began rolling out new whistleblower rules, with which financial organisations will be required to comply. These rules have not...more