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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

MiFID II transaction reporting
FCA urges immediate action for transaction reporting in no-deal Brexit11 February 2019 / ArticleThe FCA has made it clear that they expect firms, trading venues and ARMs to ensure continued compliance with MiFID II transaction reporting by exit day. A statement was published by the regulator on 1st February that outlined the powers the FCA has been granted by the Treasury in order to make preparations for a no-deal Brexit. The statement made clear that...

Events

De-mystifying conduct risk – practical ways to protect your firm26 February 2019 / London26 February 2019 @ 5:00 pm - 6:15 pm -

The FCA has made it clear that conduct risk is at the heart of UK regulation. But what does it mean in practice? Our February briefing will help you develop a plan to identify, manage and monitor conduct risk both at a strategic level and right down to the front line.

 

De-mystifying conduct risk – practical ways to protect your firm27 February 2019 / London27 February 2019 @ 8:00 am - 9:15 am -

The FCA has made it clear that conduct risk is at the heart of UK regulation. But what does it mean in practice? Our February briefing will help you develop a plan to identify, manage and monitor conduct risk both at a strategic level and right down to the front line.

Case studies

UK wealth manager and financial planner – pension switching suitabilityUK & Europe

Client type: UK wealth manager and financial planner

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