The UK FCA's 6th Conduct Question

The UK FCA's 6th Conduct Question

We discussed the FCA’s 5 conduct questions in an earlier video. Given the change of stance at the regulator a 6th question is being introduced that will focus on purposeful culture, diversity and inclusion. Join Roger as he discusses how we got to this point and as he unveils the question
Overview

Regulators globally are now looking for evidence that a firm has a culture where everyone feels safe to “speak up”. The direction of conduct and culture controls had started to shift even before the pandemic threw firms into strange new ways of working. With better governance guidelines now aligning with the best new practices, there's a positive outlook for conduct-regulated firms.

Key learning objectives:

  • Identify what the regulators mean by ‘diverse and inclusive’

  • Understand the governance themes that the regulators are interested in

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