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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

High bar for SMCR as 19 investigations bring just one enforcement
Market abuse: Brokers should be ready for searching questions16 October 2019 / Article Increasing numbers of brokers are being probed by the FCA about their market abuse controls. Market abuse is one of the last issues addressed by the FCA’s Dear CEO letter to the wholesale broking industry. But this area is certainly not low down on the priority list for supervisors. The FCA’s attitude is clear, not just from the punchy tone of the Dear CEO letter, but also by the FCA’s supervisory work. A number of brokers have been asked searching questions about their market abuse risk, internal controls and surveillance arrangements in the last 12 months.

Events

Joining the dots: money laundering and market abuse in capital markets14 November 2019 / London14 November 2019 @ 8:00 am - 6:15 pm -

In our November briefing, we will focus on the FCA’s expectations when it comes to combatting financial crime in capital markets. We will also take a deep dive into some of the FCA’s typologies, focusing on how to identify these risks in your business, and develop effective, proportionate controls in each case.

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