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 The Happiness Programme – a new Wellbeing & Resilience initiative

We are pleased to introduce a new Wellbeing & Resilience initiative: the Happiness Programme Our research across many clients in the financial, corporate and public sectors indicates that many employees’ Working From Home (WFH) experiences are being characterised by a seemingly never-ending succession of Zoom or Teams meetings. These are leaving people feeling zoned-out, uninspired and…

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…

FCA Approach to authorisation of International Firms: an overview of the key requirements

The FCA has published its approach to the authorisation and supervision of international firms. The ‘approach document’ is relevant to all international firms that require authorisation in the UK, including those that have applied or intend to apply in the future and those that are already authorised in the UK. Around 1,500 EEA firms that have entered…