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Regulatory Requirements Code of Conduct New Guidance

Akin Gump Strauss Hauer & Feld LLP

Non-Financial Misconduct in Financial Services: Nothing is ‘Plain and Simple’

Back in 2018, a senior member of the Financial Conduct Authority (FCA) stated that “non-financial misconduct is misconduct, plain and simple”. Since then, the FCA has issued multiple discussion and consultation papers,...more

A&O Shearman

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

A&O Shearman on

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

Society of Corporate Compliance and Ethics...

How a code of conduct reflects culture and meets DOJ requirements

Every compliance program begins with a code of conduct. The code of conduct expresses a company’s fundamental values and its commitment to living by them. Although a code of conduct is usually a very high-level document, it...more

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