Global Financial Regulatory Blog

Tag Archives: conduct

Latham Launches 2nd Edition of Pioneering Culture Assessment Framework

As COVID-19 sharpens the focus on corporate culture and ESG, organisations should be aware of heightened regulatory scrutiny. Corporate culture remains high on the financial regulatory agenda, and it’s likely to attract even more attention in the future. The impact of the COVID-19 pandemic has sharpened the focus on organizational culture and the social and … Continue Reading

FCA and PRA Statement on SM&CR and COVID-19: Expectations of Dual-Regulated Firms

UK Regulators announce new measures after acknowledging firms affected by COVID-19 will need to keep their governance arrangements under review. By Rob Moulton and Anna Lewis-Martinez On 3 April 2020, the FCA and the PRA released a statement announcing several new governance measures for dual-regulated firms amid the COVID-19 outbreak under the Senior Managers and … Continue Reading

US Baseball Scandal Provides Valuable Lessons on Corporate Culture

The Commissioner held senior leadership accountable for illegal “sign-stealing”, even though the conduct generally involved players and low-level operations employees. By Nathan H. Seltzer, David Berman, Christopher D’Agostino, and Nell Perks On 13 January 2020, the Major League Baseball Commissioner handed down significant punishment (including fines and suspension) to the Houston Astros baseball team and … Continue Reading
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