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On October 16, the Financial Conduct Authority (FCA) sent a letter to the Treasury Select Committee providing an update on its approach...
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The Financial Conduct Authority's (FCA) long-awaited new measures for tackling non-financial misconduct (NFM) in financial services are...
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On Tuesday (24 June 2025) the FCA published its Prescribed Person’s Annual Report on whistleblowing (“24/25 Report”), which covers...
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On March 12, Ropes & Gray hosted a panel session at its London office to mark the launch of Transparency International UK’s Corporate...
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ESG is integral to risk mitigation and value creation for most private fund managers and their portfolio companies. This year is likely...
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In rather stark contrast to recent developments across the pond, on Tuesday (4 February 2025), the FCA’s Chief Operating Officer, Emily...
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As we wrap up 2024, we wanted to share a few reflections and observations on what we have seen on the ground in Asia’s compliance,...
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On 6 November 2024, the UK Government published the long-awaited guidance on the new corporate criminal ‘failure to prevent fraud’ (FTPF)...
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The FCA continues to beat the drum on non-financial misconduct (NFM), which includes bullying, discrimination, and sexual harassment or...
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At the SCCE Compliance & Ethics Institute, I was in the packed auditorium for Principal Deputy Assistant Attorney General Nicole...
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A question that our investment management clients keep grappling with is: how do I get a better view of risk across my portfolio? Our...
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Last year, the Financial Conduct Authority (FCA) was moving full steam ahead with a consultation on diversity and inclusion in the...
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As we approach the second half of the year, we’re reflecting on the topics that have been front-of-mind for clients, and given us some...
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In an effort to bolster transparency and accountability within the financial services sector, the Financial Conduct Authority (FCA) has...
Corporate culture is (and has for many years been) a significant area of focus for the FCA and central to its supervisory model. The...
The Wall Street Journal reported last week that Microsoft employees are hooked on a series of compliance training videos. Blockbuster...