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Conduct and Accountability in Financial Services: A Practical Guide, 2nd Edition

Coming Soon Conduct and Accountability in Financial Services: A Practical Guide, 2nd Edition

Conduct and Accountability in Financial Services: A Practical Guide, 2nd Edition

作者： Stacey English; Susannah Hammond
出版商： Bloomsbury Professional (formerly Tottel Publishing)
ISBN: 9781526529060
出版时间 May 2025
规格： Paperback
适应领域： U.K. ? 免责申明：
Countri(es) stated herein are used as reference only

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Provides comprehensive and expert guidance on how best to implement and comply with the Senior Managers & Certification Regime (SM&CR) as well as acting as a guide to rule book requirements and regulatory expectations, it provides an in-depth look at the implications of the global focus on culture and conduct risk.

The second edition has been fully revised and updated and contains:
- An expanded chapter on technology in a post-pandemic hybrid world and given the heightened regulatory focus
- Analysis of the Financial Services and Markets Act 2023 and how it affects SM&CR
- Coverage of the new consumer duty
- Details of the impact of Brexit
- An overview of cryptocurrencies and cryptoassets
- AML/sanctions against a backdrop of the continuing conflict in Ukraine
A must-read text for all staff in UK financial services firms, professional associations, industry bodies, regulators, academics and advisers to financial services organisations.
Context and drivers for the new regime
The legislative and regulatory basis for SMR including an overview of the development of the rules and what has been published
Analysis of key changes from the previous 'approved person' approach including:
- Requirement for firms to certify certain employees as fit and proper
- Requirement for senior managers to take reasonable steps to prevent regulatory breaches
- Regulatory powers to enforce conduct rules against all employees
Specifics of regime aimed at banks
Specifics of regime aimed at insurers
Specifics based on role:
- Non-executive directors
- General counsel
- Material risk takers
- HR
- All other staff covered by conduct rules
Practical examples of better risk mitigation practice including:
- Responsibility maps
- Need for evidence
- Training
- Oversight in action
Practical challenges to overcome
The role of culture and conduct risk
Other areas in which personal liability can arise
Practical guide on how to learn lessons from enforcement actions
Overarching principles for how to manage personal regulatory risk
Regulatory relationship management
Overview of related global developments
Glossary of terms used
Appendices with key rulebooks and other source documentation

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