Bovill UK & Europe | Financial service regulatory consulting firm

Financial drivers of conduct risk

The FCA has made it clear that conduct risk is at the heart of UK regulation. But what does it mean in practice? And how can you protect your firm?

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Are your conduct risk arrangements up to scratch?

We have a practical approach to help you stay on top of your framework.

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SM&CR – the tricky bits

If you’re not already in it, you’ve got till December 2019 to get ready – what’s going to be hardest?

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Bovill is an independent, specialist financial services regulatory consultancy with a global offering. We are committed to providing practical solutions and with offices in the UK, Asia and the Americas we can offer a globally integrated service.

Insights

Gambling Commission cracks down on lax AML and problem gambling controls8 August 2019 / Article We’ve seen a notable uptick in regulatory focus on the gaming sector over the past year as the Gambling Commission continues its work on raising industry standards. Ladbrokes Coral is the latest firm in the spotlight and has been fined £5.9m for “systematic failings” in preventing money-laundering and problem gambling. Amongst a string of social responsibility failings related to problem gamblers, Ladbrokes allowed significant sums to pass through their business without performing due diligence on the source of these funds. It’s a timely reminder not only to be aware of your obligations, but also to make sure you can demonstrate you are compliant.

AMMS obligations on benchmarks now in force8 August 2019 / Article

High bar for SMCR as 19 investigations bring just one enforcement5 August 2019 / Press release

Agent, principal or venue? – FCA clamps down on broker capacity identification5 August 2019 / Article

Events

ESG: Changing more than the climate5 September 2019 / London05 September 2019 @ 8:00 am - 6:15 pm - The ESG bandwagon is gathering speed at an alarming rate. It’s fuelled by an unprecedented blend of supranational agreements, international undertakings, European law-making and domestic government initiatives. And our own politicians have committed the UK to being at the forefront of this ‘change for the good’. As ever, when it comes to these environmental, social [...]