New briefing note: Spotlight on Solicitors Regulation Authority (SRA) Guidance – Part one, reporting misconduct and conducting internal investigations
Auditing FCA/PRA regulated firms: Auditors’ reporting obligations – Quick Reference Guide
Name and Shame Round Two: FCA publishes consultation on redrafted proposals
Let’s talk asset management: Episode 10 – UK FCA’s recent work on non-financial misconduct
New Navigating Communications podcast – Promotional messages on social media platforms
Keep an eye on your surveillance systems and change may be on the way
The results of the FCA’s Culture and non-financial misconduct survey have been published: What do you need to know?
Regulators reinforce importance of IT, systems and operational resilience: Key considerations for firms
Regulatory intervention: A refresher for firms on issues to consider when managing VREQs and OIREQs
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