ARTICLE
9 August 2017

Global Regulatory Outlook 2017: The SFC's New "Managers-in-Charge Regime"

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Duff and Phelps
Contributor
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Duff & Phelps is the global advisor that protects, restores and maximizes value for clients in the areas of valuation, corporate finance, investigations, disputes, cyber security, compliance and regulatory matters, and other governance-related issues. We work with clients across diverse sectors, mitigating risk to assets, operations and people. With Kroll, a division of Duff & Phelps since 2018, our firm has nearly 3,500 professionals in 28 countriesaround the world.
Regulators in key markets, globally, have increasingly looked for effective way to hold senior managers of financial institutions accountable for wrongdoing.
UK Finance and Banking
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The fifth edition of the Global Regulatory Outlook (GRO) aims to guide asset managers through the areas of focus for finaicial regulators in 2017 and beyond. From the FCA's Senior Management Certification Regime, to the SFC's Manager in Charge Regime, regulators, globally, are focused on indivdual accountability. 

Regulators in key markets, globally, have increasingly looked for effective way to hold senior managers of financial institutions accountable for wrongdoing.

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

ARTICLE
9 August 2017

Global Regulatory Outlook 2017: The SFC's New "Managers-in-Charge Regime"

UK Finance and Banking
Contributor
Duff and Phelps logo
Duff & Phelps is the global advisor that protects, restores and maximizes value for clients in the areas of valuation, corporate finance, investigations, disputes, cyber security, compliance and regulatory matters, and other governance-related issues. We work with clients across diverse sectors, mitigating risk to assets, operations and people. With Kroll, a division of Duff & Phelps since 2018, our firm has nearly 3,500 professionals in 28 countriesaround the world.
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