What are the key culture and conduct risks facing firms and their senior management this year?
Where are the regulators and prosecutors internationally focusing their attention? Where will the UK regulators’ proposals on a new regulatory framework around diversity & inclusion and non-financial misconduct in the financial sector land? Will these issues continue to gain momentum in the US? What litigation and regulatory risks are on the horizon internationally in relation to ESG?
We explore how the risks from individuals’ behaviour will increase in 2024.
Using its initiative
Is the FCA’s first public deployment of its OIVAP (variation of SMF approval) power good or bad news for SMF holders?
Incentivising whistleblowers
What does the future hold in the UK and the US for whistleblower protection and incentivisation?
Investigations in public
BCLP submits response to FCA's CP24/2 on controversial plans to announce enforcement investigations
Driving force
More fines, more admissions, more monitors: what is the future of CFTC enforcement?
Personal matters
How will the risks to firms from individuals’ behaviour increase in 2024?
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