Conduct and culture: A growing focus for U.S. regulators?
Discover how the focus on conduct and culture has developed over the last several years in U.S. financial regulation.
Are conduct and culture moving up U.S. regulators’ agendas?
Activities from U.S. financial regulators over past months have shown increased attention around conduct and culture, signaling a shift that suggests these themes are becoming more of a defined priority.
Stop, cooperate, and listen – The five principles of cooperating with SEC investigations
Gurbir Grewal, the Director of the SEC’s Division of Enforcement, has laid out five principles firms should adhere to in order to effectively work with investigations – and secure better outcomes.
Exclusive: A fireside chat with Jamie Bell, Head of Secondary Market Oversight at the FCA
On February 7, 2024 we were joined by Jamie Bell, Head of Secondary Market Oversight, FCA, to discuss conduct, culture, and compliance challenges – from non-financial misconduct to AI and crypto.
Play chess, not checkers: 5 ways firms can fortify policies against noncompliance
Noncompliance risks may not be completely unavoidable, but they can decrease substantially when financial organizations anticipate precarious situations and take steps to defend against them.
Fair Warning – SEC sets out trigger factors for acting against CCOs
In a recent speech, Gurbir S. Grewal, Director of the Division of Enforcement for the SEC, laid out the triggers that will see the regulator acting against compliance functions – and gave insight on how to avoid them.
FCA and PRA propose rules around misconduct to boost diversity and inclusion
The FCA and PRA have published a Consultation on new requirements that support diversity and inclusion by reinforcing action against non-financial misconduct and enhancing workplace culture.
Regulatory Wrap Episode 7: FCA’s Plan to Boost Diversity & Inclusion
In Regulatory Wrap for the week of September 29, we look at the FCA's proposal to promote diversity and inclusion and how surveillance tools can weed out bad actors.
Regulatory Wrestling – The Compliant Culture Smackdown: Blow by Blow
Pull up your ringside seat and re-live the rumble with our blow-by-blow breakdown of Regulatory Wrestling – The Compliant Culture Smackdown.
Regulatory Wrap Episode 6: The Crucial Role of Leadership in Compliance
In Regulatory Wrap for the week to September 22, Jennie Clarke poses the question – what role do leadership and “tone from the top” play in promoting compliance?
CFTC Commissioner urges regulatory reforms to keep pace with technology
CFTC Commissioner Christy Goldsmith Romero’s recent remarks on keeping pace with evolving technologies like social media and AI highlight their ability to assist regulators by strengthening protection, broadening financial information outreach, and easing accessibility.