Holding individuals to account: Notification of Conduct Rules breaches and the provision of regulatory references
The Conduct Rules and regulatory references are aimed at increasing individual accountability which is at the heart of the Senior...
Julia is an Associate Director within Deloitte’s Risk Advisory practice with over 15 years’ experience in financial services working across a number of industry sectors. Julia has led a number of SMCR engagements and has experience of large scale regulatory risk and conduct framework implementation and operating model review projects, including s166 and FCA remediation programmes.
Financial Services Insights - Deloitte experts share their thought leadership and insights
The Conduct Rules and regulatory references are aimed at increasing individual accountability which is at the heart of the Senior...
On 9 December 2019, 47,000 Financial Conduct Authority (FCA) solo regulated firms became subject to the Senior Managers and Certification...
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