Latest Articles

SM&CR case study series - our series concludes with a handy SM&CR checklist. Click for details

Administrators at LCF use third party to consider suing PwC and EY. South Korea’s biggest hedge funds freezes withdrawals. PRA warns insurers to improve culture. Humiliation for the UK’s FCA over its new London HQ. UBS fined for overcharging Hong...

This issue looks at the training plan for conduct staff.

Burford Capital launches a legal action against the LSE. Prudential fined £24m by the FCA over annuity sales. Ex-trader claims Citi framed him. SEC preparing new limits on shareholders agitating for change. Woodford fired from flagship fund. Non-financial misconduct in...

This issue focusses on the necessary amendments to the existing systems and controls to embed SM&CR into business as usual.

Sweden state pension fund fires CEO over internal rule breach. Banker in insider dealing investigation charged for deleting messages. Ex-Goldman banker told to pay £7.3m in corruption case. Clearing house agrees to $20m penalty for risk failures. Three JPMorgan metals...

This issue focusses on the design and delivery of training for the certification staff.

Global regulators’ privacy worries over Facebook cryptocurrency. Malaysia charges seventeen Goldman staff over 1MDB scandal. Allegations of market manipulation against short seller Muddy Waters. Claims of a $38bn fraud at GE. Holiday season thoughts. Relaxing rules for Norway’s $1 trillion...

In this issue, Sam assesses the fitness of her certification staff and what training and evidence will be required

Swiss v EU spat – is this a signal for the post-Brexit world? Orcel set to sue Santander for €100m. UK’s FCA plans ban on bitcoin derivatives for retail investors. Danske claimed to have sought to discredit whistleblower. FCA reveals...

This issue focusses on devising an SM&CR training plan for senior managers.

SEC agrees to introduce best interest rule for stockbrokers. Woodford problems highlight the failure of the ACD. ‘Ethical failures’ at US arm of KPMG. PWC faces £4.6m audit penalty. RBS report described as a ‘whitewash’. Lloyds freezes 8,000 offshore accounts....