Catherine Turner

Catherine Turner

BCLP

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Applying the FCA’s proposed new guidance on non-financial misconduct

Non-financial misconduct in financial services firms is back at the top of the agenda following the concurrent publication of the FCA’s Consultation Paper 20/23 (Diversity and inclusion in the financial sector – working...more

10/16/2023  /  Consultation , Corporate Governance , Diversity , Diversity and Inclusion Standards (D&I) , Financial Conduct Authority (FCA) , Financial Services Industry , Proposed Guidance , Prudential Regulation Authority (PRA) , SMCR , UK

Funds First seminar – responding to a regulatory incident in the new world of SMCR

At our recent Funds First seminar we shared some technical and market issues and updates on the Senior Managers and Certification Regime (SMCR) and the FCA’s current cross-sector focus on culture. This briefing sets out some...more

9/20/2019  /  Corporate Culture , Financial Conduct Authority (FCA) , Fund Managers , Senior Management Regime (SMR) , SMCR , UK , Whistleblower Protection Policies
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