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Fine for former CIO at TSB breathes new life into senior manager conduct rules
Regulator’s action may consider rethink on outsourcing as senior manager accountability moves centre stage.
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On operational resilience, the regulatory stars are aligning
Global regulators are settling on a joined-up approach to operational resilience for outsourced services and critical third parties across all major territories.
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UK hedge fund compliance practitioners tackle shifting landscape
Consumer Duty, Big Bang 2.0 and ChatGPT among the subjects discussed at the latest roundtable event.
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Focus on prevention, not punishment says AAG Polite
Kenneth A Polite Jr signals a new approach from the DOJ on personal communication compliance.
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SEC issues further clarification as advisers struggle to get to grips with new marketing rule
Implementing the biggest change in 60 years is proving a substantial challenge for advisers.
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Gensler seeks to modernize recordkeeping with Rule 17a-4 amendments
The SEC has made amendments to recordkeeping Rule 17a-4 for the first time in 25 years. What do they mean, and how can firms prepare?
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Key takeaways from the TSB case
Operational resilience was the focal point, but there are other issues to consider.
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How do you solve a problem like SFDR?
It’s an important cause, but if regulatory clarity isn’t provided, the true purpose of SFDR could be drowned out by the complexities of implementing it.