The FCA recently held a webinar discussing its findings from a multi-firm review on non-financial misconduct (NFM) systems and controls across the wholesale broking sector. Within the webinar, the FCA set out what it perceived to be good practice at firms and what areas needed improvement that all firms should
FCA’s multi-firm review on non-financial misconduct at wholesale brokers
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Market culture is improving but visible leadership and manager capability remain critical for setting the tone and defining good conduct.