UK:
Global Regulatory Outlook 2017: The SFC's New "Managers-in-Charge Regime"
09 August 2017
Duff and Phelps
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The fifth edition of the
Global Regulatory Outlook (GRO) aims to guide asset managers
through the areas of focus for finaicial regulators in 2017 and
beyond. From the FCA's Senior Management Certification Regime,
to the SFC's Manager in Charge Regime, regulators, globally,
are focused on indivdual accountability.
Regulators in key markets, globally, have increasingly looked
for effective way to hold senior managers of financial institutions
accountable for wrongdoing.
The content of this article is
intended to provide a general guide to the subject matter.
Specialist advice should be sought about your specific
circumstances.
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