Conduct and Accountability in Financial Services

A Practical Guide

Stacey English, Susannah Hammond (Autoren)

Buch | Softcover

424 Seiten

2026 | 2nd edition
Bloomsbury Professional (Verlag)
9781526529060 (ISBN)

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Provides comprehensive and expert guidance on how best to implement and comply with the Senior Managers & Certification Regime (SM&CR) as well as acting as a guide to rule book requirements and regulatory expectations, it provides an in-depth look at the implications of the global focus on culture and conduct risk.

The second edition has been fully revised and updated and contains:
- An expanded chapter on technology in a post pandemic hybrid world and given the heightened regulatory focus
- Analysis of the Financial Services and Markets Act 2023 and how it affects SM&CR
- Coverage of the new consumer duty
- Details of the impact of Brexit
- An overview of cryptocurrencies and cryptoassets
- AML/sanctions against a backdrop of the continuing conflict in Ukraine

This title is included in Bloomsbury Professional’s Banking and Finance Law online service.

Stacey English has over 20 years’ regulatory risk, compliance and audit experience within the financial services as a regulator, practitioner and adviser, giving her an extensive and unique view of conduct in the industry. Susannah Hammond has over 25 years’ wide-ranging experience in international and UK financial services.

1. Context and Drivers for the Accountability Regime
2. Specifics of the Senior Managers and Certification Regime as it Applies to Banks and Large Investment Firms
3. Specifics of the Senior Managers and Certification Regime for Insurers
4. Extension of SM&CR to (Almost) all Financial Services Firms
5. Key roles in Embedding and Overseeing the SM&CR
6. Practical Aspects of Better Risk Mitigation
7. Practical Challenges to Overcome
8. Role of Culture and Conduct Risk
9. Other Areas Personal Liability Can Arise
10. Enforcement
11. Overarching Principles for How to Manage Personal Regulatory Risk
12. Regulatory Relationship Management
13. Technology
14. Overview of Related Global Developments
Appendices

Erscheint lt. Verlag	2.7.2026
Verlagsort	London
Sprache	englisch
Maße	156 x 248 mm
Gewicht	600 g
Themenwelt	Recht / Steuern ► EU / Internationales Recht
Themenwelt	Recht / Steuern ► Wirtschaftsrecht ► Bank- und Kapitalmarktrecht
ISBN-13	9781526529060 / 9781526529060
Zustand	Neuware