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Articles by Stephanie Georgiou
UK FCA Financial Crime Guide consultation: more obligations, or old news? | JD Supra
As financial crime compliance pressures grow, the UK Financial Conduct Authority (FCA) continues to emphasise the significance of its Financial Crime Guide (FCG) as part of the overarching regulatory framework for financial crime, which firms are strongly encouraged to consider and follow. Since 2020, 44% of Final Notices issued by the FCA to firms in relation to financial crime failings have referenced the FCG.
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.
Five tips for implementing the UK FCA’s consumer duty | JD Supra
Regulatory change programmes are no small undertaking. Failure to implement change thoroughly can lead to intensified regulatory scrutiny or, if sufficiently serious, investigations and enforcement action. In less than six months, the UK Financial Conduct Authority’s (FCA) new Consumer Duty rules will apply to products and services designed and distributed to retail customers.
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