Articles

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Who can we trust with our reputation?

United Kingdom - November 2 2016 In this article, we review the Financial Conduct Authority’s guidance for firms and views on the use of third parties and consider whether regulated…

Noreen Husain

DP16/4: How will the FCA apply SMF 18 (Other Overall Responsibilities) to the Legal Function ?

United Kingdom - October 12 2016 The FCA's rules require that a senior manager must have overall responsibility for every activity, business area or management function in a relevant…

Gregory Brandman, Andrew Henderson, David Saunders

Applying conduct rules to all Non-Executive Directors in the Banking and Insurance sectors

United Kingdom - October 11 2016 The FCA and PRA have issued a number of consultation, discussion and policy statements on SM&CR related matters. We have summarised the consultation…

Gregory Brandman, Andrew Henderson, David Saunders

The Duty of Responsibility for Senior Managers: Converting Form into Substance

United Kingdom - October 10 2016 On 3 October 2016, the FCA issued consultation paper CP16/26 on guidance on the "duty of responsibility" (the Duty) on Senior Managers (SMF Managers)…

Gregory Brandman, Andrew Henderson, David Saunders, Michaela Walker

Consultation on applying whistleblowing rules to UK branches of overseas banks

European Union, United Kingdom - October 5 2016 The FCA and PRA introduced whistleblowing rules in October 2015 to encourage individuals to speak out against poor practice and behaviour in…

Fiona Bolton, David Saunders