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First it was insurance brokers and now it’s investment bankers FSA tests anti-bribery and corruption controls at investment banks

  • RPC
  • -
  • United Kingdom
  • -
  • April 13 2012

The FSA recently published the findings of its thematic review of anti-bribery and corruption (ABC) systems and controls at 15 investment banks

FRC plans to focus on disciplinary action

  • RPC
  • -
  • United Kingdom
  • -
  • March 8 2012

The FRC has published its Draft Plan & Budget for 201213

The FSA’s last risks warning

  • RPC
  • -
  • United Kingdom
  • -
  • March 4 2011

The new FCA's focus will be 'conduct risk', "that is, the risk that firm behaviour will result in poor outcomes for customers