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Conduct

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.

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Conduct
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?

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Conduct
Incentivising whistleblowers

What does the future hold in the UK and the US for whistleblower protection and incentivisation?

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Conduct
Investigations in public

BCLP submits response to FCA's CP24/2 on controversial plans to announce enforcement investigations

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Conduct
Caught in the crosshairs

How the PRA’s new Early Account Scheme impacts individuals

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Conduct
Driving force

More fines, more admissions, more monitors: what is the future of CFTC enforcement?

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Conduct
Personal matters

How will the risks to firms from individuals’ behaviour increase in 2024?

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