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Articles by Clive Garfield
D&I in FS: how to get a head-start on the FCA and PRA proposals | JD Supra
This is the last post in our series on the UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) proposals to introduce a new regulatory framework on diversity and inclusion (D&I) in the financial services sector. The consultations are now closed but it would be a mistake to wait until the final rules and guidance are published next year before engaging with some of the challenges highlighted in our blog series.
Tracking and improving inclusion in financial services: practical challenges and how to navigate them | JD Supra
The latest UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) proposals for improving diversity and inclusion in financial services include requiring firms to report on six new inclusion metrics. Firms would need to capture data from employees on an anonymous and voluntary basis and report the results across three levels of the organisation: board, senior leadership, and all employees.
D&I in FS: practical considerations for designing and implementing an inclusive culture | JD Supra
The regulators have proposed that firms report annually, with a five-point scale from strongly agree to strongly disagree, on whether employees feel: safe to speak up if they observe inappropriate behaviour or misconduct; safe to express disagreement with, or challenge, the dominant opinion or decision without fear of negative consequences; their contributions are valued and meaningfully considered; they are subject to treatment (for example actions or remarks) that had made them feel...
What the UK regulators proposals mean for DI strategies in financial services firms | JD Supra
The UK financial services regulators’ latest proposals for improving diversity and inclusion (D&I) include detailed proposals in respect of in-scope firms’ D&I strategies. The proposals, if implemented, would represent a significant expansion of firms’ obligations in respect of D&I strategies, requiring firms to include certain content as a minimum, ensuring the strategy is easily and freely accessible, and imposing responsibilities on the board and senior leadership.
A new regulatory framework for D&I in financial services: overarching themes and trends | JD Supra
The UK financial regulators’ proposals for creating a new regulatory framework for diversity and inclusion (D&I) in financial services are wide-ranging and detailed but have at their heart a few consistent themes. Considering the proposals against the backdrop of these themes is a useful way to appreciate the rationale behind them and the best way to implement changes.
Why culture should become an integral part of your organisation's risk management strategy | JD Supra
Risk management for most organisations means business and financial risk, and increasingly non-financial risk such as operational and conduct risk. Relatively few have as yet focused on culture risk explicitly, and the need to proactively manage it in the same way as some of the more traditional risk stripes. Clive Garfield of A&O Consulting explains why understanding, identifying and mitigating culture risk is critically important to an organisation’s long-term success.
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