This Compendium takes the reader on a global tour, highlighting 2018 regulatory activities and emphases in each major financial center. As one would expect, some locations have a significant amount of public activity, often driven by scandal and reaction. Others have featured less public activity, which may or may not mean that they are actually devoting less attention to issues of culture and conduct. The following descriptions are not designed to make qualitative judgements about activity or effectiveness, but rather, we seek simply to provide the reader with a summary of what’s happening around the world as regards the culture and conduct risk supervisory agenda.
The chapter begins with a discussion of international organizations. While these entities do not have direct regulatory oversight of financial institutions in the various jurisdictions, they do help to shape global regulatory priorities through their role as standard setters and provide an important bellwether as to the policies and rules that national regulators are likely to adopt.
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