Latest Articles

In line with precautionary measures being taken to reduce the risk posed by COVID-19, our SM&CR breakfast briefing presentations were recorded by our speakers and are now available on-demand.

CEO-chair combination to be challenged. FCA suffers embarrassing compliance failure. Deutsche probing Saudi wealth management bribes. Thiam ousted to protect Credit Suisse’s reputation. Work-life balance plans for LSE. Long lens reveals UK Brexit plan for financial services. “Equivalence” needs to...

Challenger audit firm RSM misstates its own accounts. Cyber criminals attack Travelex. FCA attempts to require clarity from banks re interest rates. Dixons Carphone fined £500,000 for data breach. Citadel agrees $97m in Chinese settlement re suspected illegal acts. UK’s...

October 2019 Californian sexism lawsuit. Solicitors’ Tribunal finds against Freshfields partner. Fund manager alleged to have sexually harassed juniors. November 2019 PRA warns insurers to improve culture. UBS fined for overcharging Hong Kong clients. Concerns over ethical breaches at G4S....

Baker McKenzie partner embarrassed over kissing episode. FCA to ban promotion of mini bonds. Ex-partner at Deloitte goes to court over misconduct claims. Japan’s public pension fund rules against stock lending. M&G halts trading in its £2.5bn open-ended property fund....

SM&CR case study series - our series concludes with a handy SM&CR checklist. Click for details

Administrators at LCF use third party to consider suing PwC and EY. South Korea’s biggest hedge funds freezes withdrawals. PRA warns insurers to improve culture. Humiliation for the UK’s FCA over its new London HQ. UBS fined for overcharging Hong...

This issue looks at the training plan for conduct staff.

Burford Capital launches a legal action against the LSE. Prudential fined £24m by the FCA over annuity sales. Ex-trader claims Citi framed him. SEC preparing new limits on shareholders agitating for change. Woodford fired from flagship fund. Non-financial misconduct in...

This issue focusses on the necessary amendments to the existing systems and controls to embed SM&CR into business as usual.

Sweden state pension fund fires CEO over internal rule breach. Banker in insider dealing investigation charged for deleting messages. Ex-Goldman banker told to pay £7.3m in corruption case. Clearing house agrees to $20m penalty for risk failures. Three JPMorgan metals...

This issue focusses on the design and delivery of training for the certification staff.