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Searching Content indexed under Financial Services by Brahams Dutt Badrick French LLP ordered by Published Date Descending.
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1
Why Is Whistleblowing Still A Risk?
Despite being a world leader in the financial markets, the UK falls short of other jurisdictions when it comes to providing protection for whistleblowers.
UK
15 Jan 2019
2
Extension Of The SMCR: What It Means For Firms And Individuals
The Senior Managers & Certification Regime (the SMCR) was first introduced in the banking sector in March 2016. It was introduced in response to a series of scandals.
UK
10 Sep 2018
3
What Are The Rules On Recording Employee Communications In Financial Services Firms?
In 2017, the FCA announced an increase in the number of financial services firms who must record communications made by their employees.
UK
18 Jun 2018
4
Barclays CEO Fined By UK Regulators For Trying To Expose Whistleblower
Barclays CEO Jes Staley has been fined £642,430 by City regulators and had £500,000 of bonus clawed back by the bank after he attempted to identify an anonymous whistleblower.
UK
17 May 2018
5
Latest Statistics Show Impact Of SMCR
The SMCR has applied to banks and PRA-designated investment firms since March 2016.
UK
17 Aug 2017
6
FCA Consults On Extending Senior Managers And Certification Regime
The Financial Conduct Authority has finally published its proposals for the extension of the Senior Managers and Certification Regime (or "SMCR") that currently applies only in banks...
UK
7 Aug 2017
7
Employee Monitoring In Financial Services Firms
New rules on recording employee communications in financial services firms.
UK
19 May 2017
8
Regulatory Reference Rules Now In Force Under Senior Managers Regimes
As of 7 March 2017, many executives working in banking and insurance now come within the scope of the new regulatory rules relating to references.
UK
13 Mar 2017
9
Being A Whistleblowing Champion
The collapse of Lehman Brothers and PPI misselling are two scandals which have contributed to one of the most turbulent periods in the financial services industry's history.
UK
8 Nov 2016
10
Regulators Provide Much-Needed Clarity Around New Regulatory References Regime
If you work in a senior role in banking or insurance the chances are that you will be familiar by now with at least some of the principles of the senior managers' regulatory regimes, introduced earlier this year.
UK
8 Nov 2016
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