Conduct in UK Law
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SMCR Conduct Rules go live!
Reed Smith will be hosting a breakfast seminar on the SMCR 28 March 2017. Visit reedsmith.com for more information. On 7 March 2017, the Conduct Rules in FCA Handbook and PRA Rulebook were extended...
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Financial Conduct Authority: primary markets review
The Financial Conduct Authority (FCA) has published two papers as part of its review of the structure of the UK's primary markets to ensure that they continue to serve the needs of issuers and inve...
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UK Conduct Regulator Publishes Annual Report
The U.K. Financial Conduct Authority has published its Annual Report and Accounts for the year ended March 31, 2019. The report considers topics including: (i) key highlights from 2018/2019; (ii) t...
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Anticipating 'Good Conduct Regulation' In The UK
On Feb. 13, 2017, John Griffith-Jones, chairman of the U.K. Financial Conduct Authority, delivered a speech to the Cambridge Judge Business School at the University of Cambridge entitled "What make...
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Defining, Enforcing and Preventing Conduct Risk
An international focus on defining, preventing, and understanding the concept of “conduct risk” has become problematic for financial services organisations in the UK and beyond—in part because the ...
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Financial Sector – Conduct and Regulatory References
On 7 March 2017, one year after the implementation of the Senior Managers and Certification Regime (SM&CR) which was introduced to improve accountability in the financial services sector, two furth...
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UK Conduct Authority backlog causing serious frustration
South African readers will be interested to hear that, according to a recent article in Insurance Day,severe delays at the UK Financial Conduct Authority in approving senior hires are causing strif...
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UK Conduct Regulator Sets Out Conduct Expectations of Firms For Libor Transition
The U.K. Financial Conduct Authority has published a statement on conduct risk during the LIBOR transition, which is due to be completed by the end of 2021...
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The Financial Conduct Authority and Cyber Resiliency
The Financial Conduct Authority (FCA) aims to guide regulated firms on its expectations of their cyber resiliency. In 2018, the FCA warned regulated firms of the risks of outdated IT systems and th...
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Financial Conduct Authority Publishes Progress Report on Conduct Questions for Wholesale Banks
The Financial Conduct Authority has published its latest report on industry progress made against the "Five Conduct Questions" it poses to wholesale banks in a bid to improve their conduct and cult...
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