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Seung Earm and Mark Taylor discussed the Senior Managers & Certification Regime at Global Relay’s gathering of compliance professionals.
We spoke to Emma Parry about her role as an expert witness in a high court case, her experience as head of global conduct risk and the fallout of recent whistleblowing cases.
It’s been a relatively quiet period as far as FCA announcements go, so the latest in our regular series of roundups covers a month.
Lawyer Agnes Foy and GRIP’s Jean Hurley on the trouble with UK City culture, upcoming elections, AI regulation, and why NDAs are often unenforceable.
We spoke to the author of Behind the Screens: Understanding Employee Surveillance in Financial Services.
Risk acceptance and supervisory visits also discussed at Global Relay’s quarterly roundtable in London.
Findings reveal effect of ‘toxic’ workplace culture and management shortcomings.
Carroll Barry-Walsh on how firms must monitor and review non-financial behavior.