Regulatory Wrap episode 55: Catching the culture bug
In Regulatory Wrap for the week to March 14, Rob Mason reviews an FCA speech on culture's ability to spread within an organization.
FCA bans Crispin Odey as non-financial misconduct focus grows
With the FCA taking action against Crispin Odey, a controversial hedge fund manager who has been the subject of serious misconduct allegations, it seems the regulator is keeping its word on prioritizing non-financial misconduct.
What does the data of 12,000 financial organizations reveal about industry trends?
On February 5, 2025, we were joined by a panel of compliance and surveillance experts to explore top compliance trends, answering questions including whether the FCA is complicating compliance, how AI is being used for surveillance, and if conduct and culture should be high on firm’s agendas.
Regulatory Wrap Episode #46: The FCA’s 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.