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John Higgins and Maria Symeon share practical advice on documenting oversight, managing delegation, and evidencing challenge.
COCON 1.1.7FR
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Strong organizations are those that recognize when they have lost their way, and have the governance to find their way back.
A look at the role of managers in the new regulatory framework, particularly in the context of speak up and whistleblowing channels.
We assess how the guidance might influence a firm’s response to an offensive social media post made by an employee in their private life.
In this second article in our series, we look at when behavior in an employee’s private life might become a regulatory issue.
Practical guidance on what’s changed and what to look out for in new FCA non-financial misconduct rules due in force September 1.
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Insights from the recent hedge funds event at Global Relay’s London offices. We discuss the change, the pain, and offer up some advice.
Firms should take steps now to identify and mitigate NFM-related risks, including improving culture (a key driver of good conduct).