Conduct and Accountability in Financial Services

Stacey English has over 20 years’ regulatory risk, compliance and audit experience within the financial services as a regulator, practitioner and adviser, giving her an extensive and unique view of conduct in the industry.Susannah Hammond has over 25 years’ wide-ranging experience in international and UK financial services.

• 1. Context and Drivers for the Accountability Regime2. Specifics of the Senior Managers and Certification Regime as it Applies to Banks and Large Investment Firms3. Specifics of the Senior Managers and Certification Regime for Insurers4. Extension of SM&CR to (Almost) all Financial Services Firms5. Key roles in Embedding and Overseeing the SM&CR6. Practical Aspects of Better Risk Mitigation7. Practical Challenges to Overcome8. Role of Culture and Conduct Risk9. Other Areas Personal Liability Can Arise10. Enforcement11. Overarching Principles for How to Manage Personal Regulatory Risk12. Regulatory Relationship Management13. Technology14. Overview of Related Global DevelopmentsAppendices

An invaluable source of accurate regulatory compliance information to draw from. Well laid out, clear and detailed, I also look forward to the second edition of this important contribution to the field.