Back to Main Theme

Senior Managers Regimes

Supervisory approaches that hold executives personally liable and accountable for misconduct during their watch.

Advanced Filters
Contributors
Tags
Senior Managers Regimes
Clear All
New Regime Empowers Australian Regulators to 'Disqualify' Executives

by Starling Insights

Observations

Sep 22, 2022

Two weeks ago, the Australian government introduced the Financial Accountability Regime Bill 2022, frequently referred to as the FAR. The bill gives power to the Australian Securities and Investments Commission (ASIC) and the Australian Prudential Regulation Authority (APRA) to investigate and punish misconduct, and to hold specific individuals accountable for such.

The 2022 Compendium is available now!

Now in its 5th year, Starling's Compendium features over 60 contributors from across the industry as well as detailed analysis of the latest trends in culture & conduct risk supervision.

2020 UPDATE | United Kingdom

by Starling Insights

Compendium

May 04, 2020

With the UK set to leave the European Union, 2020 was always going to be a turbulent year. More than a thousand banks, asset managers, other financial firms were expected to open UK offices following Brexit. At the same time, an estimated 7,000 jobs were also expected to be relocated to financial hubs abroad. But that was before the COVID-19 crisis put banks at the fore in policy responses to the ensuing economic fallout. ...cont

All Tags UKUK FCA