Blowing the whistle on bad conduct

There are increased noise levels of late coming out of the FCA. First the news earlier this month that NatWest is being prosecuted for AML failings, and now a new campaign to encourage whistleblowing in UK financial services firms. “We listen to all whistleblowers, and if they shine a light on serious misconduct, we want…

Regulators are definitely back in business pushing ahead on tackling climate change: are you up-to-date and on track?

Regulators are definitely back in business pushing ahead on tackling Climate-change Risk Management: are you up-to-date and on track?   Introduction to the Article Since we published our introductory article on ‘Climate change: compliance and conduct risks’ in August 2020, there has been a significant number of important regulatory developments from UK and international regulatory…

Launch of our Compliance Mentoring Programme

Eiger Regulatory Partners – Compliance Mentoring Programme We are delighted to announce the launch of our Compliance Mentoring Programme. This new initiative is to offer, at this stage, London-based investment bank compliance specialists up to VP-level, access to well-known senior management compliance specialists and experienced (including accredited) career coaches. This mentoring would be at no…

Memo to Compliance Officers: 6 practical steps to reinvigorate your compliance function post-pandemic

With an increasingly full and complex in-tray, a challenging operating environment, how do you plan to reinvigorate your compliance teams and programme as we come out of lock-down and start the staggered return to a new workplace normal? What does the post-pandemic regulatory environment look like? Regulators (including the PRA and FCA) have rightly been…