News & Analysis as of

United Kingdom › Senior Managers › New Guidance

Akin Gump Strauss Hauer & Feld LLP

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

Akin Gump Strauss Hauer & Feld LLP on

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

Banking Standards Board Publishes Good Practice Guidance on Regulatory References

A&O Shearman on

The Banking Standards Board has published a statement of good practice for firms when providing and requesting regulatory references in accordance with the Senior Managers and Certification Regime. The SM&CR for banks and...more

Proskauer - Whistleblowing & Retaliation

New UK Regulations to Govern Whistleblowing in Financial Institutions

Proskauer - Whistleblowing & Retaliation on

This month, the FCA and PRA announced a new regime for whistleblowing that will start to be phased in from March 2016. This is part of the broader desire on the part of the UK regulators to encourage individuals to raise...more

3 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide