Tag: conduct risk

For compliance teams at asset management firms, allocation review has quietly become one of the most thankless tasks in the working day. Hours are...

Compliance has moved from the back office to the boardroom. For global banks, it is no longer a function that quietly operates in the...

RegTech is entering a new phase. With financial institutions facing growing regulatory pressure, firms are increasingly turning to AI, automation and real-time compliance tools...

The UK's Senior Managers and Certification Regime (SMCR) is entering a new chapter — one that promises greater operational flexibility for firms while keeping...

On 1 September 2026, the FCA's Code of Conduct will extend to cover bullying, harassment and discrimination across every FCA-authorised organisation — not just...

Manual redress processes are coming under renewed scrutiny as firms respond to large-scale remediation exercises in the motor finance market. As the sector grapples with...

AI is reshaping how regulated financial institutions approach compliance, surveillance and operational resilience, but its effectiveness depends entirely on the quality of the data...

When the Financial Conduct Authority (FCA) published CP25/18 on 2 July 2025, it sent a clear signal to regulated firms: workplace culture is no...

Artificial intelligence has evolved from a background productivity tool into an active participant in day-to-day communications. From composing emails and instant messages to preparing proposals,...

A former analyst at a UK-based investment management firm has been convicted of insider dealing, underlining the Financial Conduct Authority’s (FCA) increased reliance on...