In this paper we disagree with the proposal in the Financial Conduct Authority's consultation paper CP19/4 to exclude the head of legal of regulated firms from the Senior Manager and Certification Regime (“SM&CR”). We argue that there are benefits to inclusion; from the perspective of...

Non-executive directors (NEDs) perform a central role in corporate governance, in providing effective challenge to executives. In-house lawyers (IHLs) are central to an organisation's ability to function effectively and within the law. The relationships between the two constituencies is...

Introduction -- A new approach to compliance and the lessons from Wells Fargo -- Compliance and 'whistleblowing' and corporate psychology -- Compliance and Regulators -- Finding the right people and the key functions of the compliance organisation -- The operational tools of compliance --...

Introduction -- A new approach to compliance and the lessons from Wells Fargo -- Compliance and 'whistleblowing' and corporate psychology -- Compliance and Regulators -- Finding the right people and the key functions of the compliance organisation -- The operational tools of compliance --...

This paper provides a guide to a number of key areas of compliance for product providers and independent financial advisers. These include ensuring high standards of recruitment, sound reporting lines and a properly resourced compliance function and it indicates a number of ‘amber lights’...

The Securities and Investments Board (SIB) issued a paper addressed to self‐regulating organisations in May 1994 titled ‘Past Pension Transfers and Opt‐Outs: Model Guidance on Priority Cases and Complaints’. This set out in broad terms what product providers and independent financial...