Month: March 2018

How does your Board get an Oversight of Conduct in your Organisation?

In this 5th post in our series of blogs on the FCA’s increasing focus on corporate conduct, we look at how boards can get an oversight of conduct.

It’s a problem we often see in business. A corporation establishes a clear set of corporate guidelines but fails to follow them throughout the company. The problem – for all their good intentions the board fails to monitor compliance at the coal-face.

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What support does your firm provide to help staff improve conduct?

In this 4th post in our series reflecting on Megan Butler’s speech to the FT Investment Managers Summit, we look at what support your firm provides to help staff improve conduct.

Ensuring good conduct across a corporation is essential.  Once you’ve established a strategy for good corporate conduct, how do you make sure that everyone across the organisation sticks to it?

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FCA Extends Expectations to Unregulated Activities

What key lessons should firms take away from the FCA consultation on codes of conduct for unregulated activities?

In November of last year, the FCA published a draft consultation paper setting out the expected code of conduct for unregulated activities. The move had been coming for some time, as the FCA became increasingly vocal in its criticism of unregulated funds. In 2017 it attracted complaints when it demanded 250 advice firms deliver data on unregulated investment recommendations they had made.

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