Articles

Results 1 to 5 of 18


The regulatory reference regime: final rules

United Kingdom - October 3 2016 The regulatory references regime is part of a wider package of reforms aimed at improving accountability in financial services. The FCA and the PRA…

Fiona Bolton, David Saunders, Gareth Wadley

When senior people change jobs: a new regulatory references regime

United Kingdom - October 9 2015 To fulfil their regulatory obligations, banks, building societies and credit unions will need to have robust systems and controls in place to deliver…

Fiona Bolton, Gregory Brandman, Andrew Henderson, Mikhail Murday

Senior Managers Regime - update - regulatory references final rules, implementing the EBA remuneration guidelines, whistleblowing in UK branches, legal function responsibility and more…

United Kingdom - September 28 2016 The FCA and PRA have today published a package of final rules, consultation papers and proposals on accountability, remuneration and whistleblowing…

Fiona Bolton, Paul Fontes, 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

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