By Jane Walshe

What the Regulator wants and expects in 2017

On 9th February I joined Philip Allen of the BBA to deliver a webinar (click here to access the recording) entitled ‘‘Enforcement Update: What the Regulator wants and expects in 2017”.   Some interesting polling occurred which can be read about in a separate blog.

By Jane Walshe

Senior Managers Regime Poll 2017

On 9th February 2017, I joined Philip Allen of the BBA to deliver a webinar entitled ‘‘Enforcement Update: What the Regulator wants and expects in 2017”.  This piece focuses on the polling that occurred during the hour, which provides an interesting snapshot into current industry sentiment around conduct risk and individual accountability – themes which …

By Jane Walshe

FCA says Senior Managers need to take Responsibility for their Actions

At a conference (Practising Law Institute Sixteenth Annual Institute of Securities Regulation in Europe) today Mark Steward, FCA Director of Enforcement and Financial Crime, made a number of comments on fines, conduct of financial services firms and senior managers need to take responsibility for their actions as well as exercise meaningful oversight of what goes …