The FCA’s new investment disclosure regime is a sign that the regulator is more closely scrutinizing compliance and consumer duty outcomes in the sector.
Due diligence
When it comes to critical mineral extraction in service of the energy transition away from fossil fuels, mining projects can leave behind scars impossible to redress.
Michael Littenberg and Sam Elliot examine the main developments and ponder what to expect going forward.
The Corporate Sustainability Due Diligence Directive introduces mandatory environmental and human rights obligations for certain large EU and non-EU companies.
The FCA is auditing how supervised firms manage their compliance systems – we take a look at good and poor practices.
The judgment sends a powerful message about the limits of deceit in heavily negotiated M&A transactions and the high threshold for these types of claims.
Issues highlighted in the report include the quality of customer risk assessment, detailed practical guidance, recordkeeping, and independent second-line assurance.
When buying off-the-shelf guff policies leads to poor risk management: what to look out for and what to avoid.