Wolters Kluwer: A Year of Conduct Regulation in the UK: A Happy Birthday to Who?
Source: Wolters Kluwer
The 1 April 2014 marked the one-year anniversary of the Financial Conduct Authority (FCA). Their first operational year has been a busy one when looking back at the multiple large fines, bans, warning notices, but also rules, guidance and consultations it has launched. This sets a timely opportunity to contemplate the - both initial and emerging - factors and elements that have appeared to underpin and dictate the FCA’s own conduct and behavior towards regulated financial services businesses in the UK.
So, please join us at this webinar during which you will:
• Gain deeper insight into the establishing nature and style of the UK conduct regulator;
• Learn more about some of the significant implementation trends and events over the past year concerning conduct regulation and enforcement, including some of the main regime revisions and new introductions during the past year.
• Understand some of the challenges ahead which firms and their senior-management may still be grappling with to obtain and sustain their own ongoing confidence and assurance.