Stacey English, Susannah Hammond

Conduct and Accountability in Financial Services

A Practical Guide

• Broschiertes Buch

Produktbeschreibung

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. This title is included in Bloomsbury Professional's Banking and Finance Law online service.

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Produktdetails

• Verlag: Bloomsbury Academic
• 2nd edition
• Seitenzahl: 424
• Erscheinungstermin: 26. Juni 2025
• Englisch
• Abmessung: 248mm x 156mm x 25mm
• Gewicht: 454g
• ISBN-13: 9781526529060
• ISBN-10: 1526529068
• Artikelnr.: 69670068

Autorenporträt

Stacey English is head of regulatory intelligence for Thomson Reuters with 20 years of regulatory compliance, risk and audit experience in financial services as a regulator and practitioner. uk.linkedin.com/in/stenglish @regexperts @regulatorydata

Inhaltsangabe

1. Context and Drivers for the Accountability Regime 2. Specifics of the
Senior Managers and Certification Regime as it Applies to Banks and Large
Investment Firms 3. Specifics of the Senior Managers and Certification
Regime for Insurers 4. Extension of SM&CR to (Almost) all Financial
Services Firms 5. Key roles in Embedding and Overseeing the SM&CR 6.
Practical Aspects of Better Risk Mitigation 7. Practical Challenges to
Overcome 8. Role of Culture and Conduct Risk 9. Other Areas Personal
Liability Can Arise 10. Enforcement 11. Overarching Principles for How to
Manage Personal Regulatory Risk 12. Regulatory Relationship Management 13.
Technology 14. Overview of Related Global Developments Appendices