London Governance & Compliance Academy
In July 2022, the Financial Conduct Authority (FCA) established the definitive regulations and advice pertaining to a fresh Consumer Duty, designed to instate elevated and more distinct standards of consumer protection across the sphere of financial services, whilst also necessitating firms to prioritise the needs of their clientele above all else. This new set of […]
Introduction Insider dealing and market manipulation are two prominent, yet unethical practices in financial markets. Insider dealing refers to the trading of a public company’s stock or other securities by individuals with potential access to non-public, price-sensitive information. This practice, viewed as an infringement of fair market operations, is strictly regulated by a strong regulatory […]
Is an Anti-Bribery and Corruption (ABC) Policy Needed? The UK Bribery Act 2010 stipulates an offence of failing to prevent bribery, thereby necessitating organisations to establish robust anti-corruption procedures. The failure to do so can result in prosecution and significant financial penalties. Hence, an anti-bribery and corruption policy is crucial for all organisations, regardless of […]
