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Compliance, Culture And Evolving Regulatory Expectations, Speech By Mark Steward, UK Financial Conduct Authority Executive Director Of Enforcement And Market Oversight, Delivered At NYU Law School Date
Event: NYU Law School (Virtual)
Delivered: 31 March 2021
Highlights
The Senior Managers Regime (SMR) has changed the way firms allocate responsibilities, align those responsibilities to relevant controls and ensure oversight as to how these controls operate down the line.
The 5 Conduct Questions (5CQ), which start with ‘tone from the top’, are increasingly focussing on ‘tone from within’ which requires every person in an organisation to be personally accountable and engaged.
Every employee of a regulated firm is subject to individual conduct rules, which impose broad obligations.
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Press release content from Accesswire. The AP news staff was not involved in its creation.
THK & DHS Eenergy Venture into a $42.5M Capital Expansion: Fernando Aguirre, DHS Chairman, Announced
April 12, 2021 GMT
WASHINGTON, DC / ACCESSWIRE / April 12, 2021 / DHS, a multidisciplinary advocacy firm in the nation’s capital announced today that it will join THK, on $42.5 million on the topic of cybersecurity, Fernando Aguirre, Vice Chairman of DHS shared and noted that the Hong Kong Securities & Futures Commission (SFC) is “super-focused” on it, publishing a number of guidelines on that. Aguirre said, “They see it as a really big risk, which it is, and they are really trying to stay on top of it. It is an issue that comes up again and again in inspections, and every licensed manager has to have a manager in charge responsible for the IT department who has personal accountability to the SFC for what happens in the IT department.”
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