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Financial Services Industry Ethics United Kingdom

Dechert LLP

Bank of England weighs in on AI governance

Dechert LLP on

The Bank of England considers the latest wave of AI developments to be a “step change” for financial modelling that brings substantial opportunities as well as risks. AI governance is a developing field and financial...more

Health Care Compliance Association (HCCA)

On ethics: Christian Hunt

AT: Before we get into the heart of the interview, I want to make a quick detour into your background. You spent most of your career in the financial services arena, working at UBS, Deutsche Bank, and the United Kingdom...more

NAVEX

Ethics, Risk and Compliance Roles in the U.K. – Part 1

NAVEX on

We were delighted to interview Kevin Parle – Fellow of the International Compliance Association (ICA) and Deputy Chair of the Data Protection Forum – for insights and observations of whistleblowing roles within U.K....more

A&O Shearman

UK Conduct Regulator Consults on Firms' Treatment of Vulnerable Consumers

A&O Shearman on

The U.K. Financial Conduct Authority has launched a consultation on its proposed guidance on how financial services firms should treat "vulnerable" consumers. The consultation will be divided into two stages: the first stage...more

Latham & Watkins LLP

Transforming Culture in Financial Services - The FCA Renews Its Approach

Latham & Watkins LLP on

New FCA Discussion Paper demonstrates how the regulator’s thinking in relation to culture has evolved. Introduction - In Discussion Paper (DP) 18/2, the FCA has taken an unusual approach to a topic that has received...more

NAVEX

UK Financial Services Whistleblowing Regulation Survey: Assessing The Impact Of The FCA/PRA Senior Managers Regime Whistleblowing...

NAVEX on

NAVEX Global partnered with an independent research firm to survey compliance professionals from the UK Financial Services industry about their approach to whistleblowing and incident reporting. Our findings provide insight...more

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