The FCA should publish detailed guidance on how firms handle harassment and sexual misconduct before the regulator considers enforcement under the upcoming SM&CR, a law firm has urged.
The Senior Managers & Certification Regime (SMCR) will apply to asset managers from 9 December 2019, placing upon the sector fresh administrative, regulatory and conduct requirements that banks and other...
Systems, controls, governance and culture
Following more reviews
Beyond the FCA's seven considerations
‘Ensure vulnerability is taken seriously’
For smaller and medium firms
'There will be more consolidation'
Fee-based revenue fell 13%