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Compliance & Conversation: Making the most of SMCR
Seung Earm and Mark Taylor discussed the Senior Managers & Certification Regime at Global Relay’s gathering of compliance professionals.
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Scrutinising valuation: Next steps for private asset managers
If you haven’t reviewed your valuation practices recently, now would be a good time to start.
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Sexism in the City: “Talking to women, nothing seems to have changed”
In the week of International Women’s Day, and with the Sexism in the City inquiry under way, we look at non-financial misconduct and the role of the regulators.
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Podcast: Ben Blackett-Ord on SMCR, KYC, and crypto
Bovill founder Ben Blackett-Ord talks about some of the big compliance stories this year and gives his predictions for 2024.
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Understanding enforcement actions against compliance teams
Assessing key points made by SEC enforcement chief Gurbir Grewal in his recent speech.
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View from the chair: Staley case may clarify FCA Conduct Rules
In his regular column, Bovill’s Executive Chair Ben Blackett-Ord discusses how the Upper Tribunal will establish case law on ICR and SMCR.
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Jes Staley fined and banned – so what happens next?
Gavin Stewart discusses why the case has taken so long and why there is no PRA sanction.
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Compliance roundtable discussion tackles devil in the detail
Compliance professionals wrestled with current challenges at the latest Global Relay roundtable event in London.