Written and edited by Christopher Bond, Chartered MCSI, senior adviser to the CISI, this quarterly magazine covers the universe of financial regulation for retail and wholesale/capital markets firms, and for banks.
This edition provides a guide to firms on the expectations of the FCA with regards to conduct risk (All financial sectors section); a guide on how to deal with insistent clients (Private wealth management/Retail banking section); an outline of responses to the EU Capital Markets Initiative (Wholesale/Captial markets section); and an outline of PRA guidance on the responsibilities of bank board members and non-executive directors.
Highlights from this edition include:
A senior management information dashboard
A one-page summary of key changes, divided between retail, buy-side, sell-side, banking and of importance for all firms.
How do you show you have implemented conduct risk?
A guide to understanding the supervisors' expectations.
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Pension freedoms and ‘insistent’ clients
The FCA provides some guidance, but FOS?
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What people think of the EU Capital Markets initiative
Doubts emerge on what EU laws need amending
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What is the responsibility of bank board members and NEDs?
The PRA guides on these
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Read the international edition
Read the full PDF
Read the glossary
Please note that CPD will not be automatically recorded for reading this PDF.