Regulatory Wrap Episode #46: The FCA’s First Survey on Non-Financial Misconduct
In Regulatory Wrap for the week to October 25, Jennie Clarke discusses regulatory views on finfluencers and their role in financial promotion.
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.
Non-financial risks
For some compliance officers, risks are like heavy and dark clouds waiting to rain on the business. While some risks may never occur, it’s their responsibility to ensure you pack-a-mac, and put a plan together if the rain comes down.
Article