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Blogs

conduct rules | Peruse our blogs for the latest, fresh perspective on navigating the maze of global regulations and upcoming milestones. This is your shortcut to staying ahead, packed with insights and expert tips from the forefront of GRC innovation.

Culture Risk: What Asset & Wealth Managers Must Know

Culture Risk: What Asset & Wealth Managers Must Know

governance, accountability, conduct rules, risk

Time to read: 4 minutes TL:DR: The FCA’s PS25/23 brings serious non-financial misconduct firmly within the regulatory perimeter, making workplace behaviour, culture and integrity matters for conduct rules and fit and proper assessments. For asset and wealth managers,...

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FMIs, Get set for SM&CR

FMIs, Get set for SM&CR

accountability, SM&CR, certification, conduct rules

HM Treasury issued a consultation earlier in July. The proposals signal HMT’s intention to extend the Senior Managers & Certification Regime (SM&CR) to include Financial Market Infrastructures (FMIs). Interested parties should submit their responses by 22 October 2021....

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