エピソード

  • Culture, Conduct, and SMF Accountability

    Culture, Conduct, and SMF Accountability
    2024/09/13
    UKGI's Head of Technical, Dave Anderson, is joined by Technical Resources Manager, Alastair Haughton, and Regulatory Consultant and Independent Non-Executive Director at Howden Insurance, John King. They look at how culture remains a significant focus for the FCA and discuss cases where senior managers have been held accountable for their misconduct, both financial and non-financial.

    Hosted on Acast. See acast.com/privacy for more information.
    続きを読む 一部表示
    33 分
  • Customer Vulnerability

    Customer Vulnerability
    2024/08/05
    UKGI's Head of Technical, Dave Anderson, is joined by Technical Resources Manager, Alastair Haughton to discuss the ongoing applicability of the four drivers of vulnerability, what firms can do to help identify vulnerability, and how vulnerability MI should be used.

    Hosted on Acast. See acast.com/privacy for more information.
    続きを読む 一部表示
    26 分