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Governance, Culture and Individual Accountability

Regulator sensitivity to culture and conduct continues to increase and is driving significant change in the way financial services companies self-govern and respond to external challenge. In recent years the connection between an organisations business model, their strategy, and its culture and governance has been illuminated like never before. We are helping clients understand, in a commercial and pre-emptive way, how strategic choices will impact behavioural risk in their operation. 

Top three things on the horizon

1. The Central Bank (Individual Accountability Framework) Act 2023 (“Act”) (Ireland) was finally enacted, on 9 March 2023, when the President of Ireland signed the relevant Bill into law.  View our briefing notes and guidance here. 

2. Our Consumer Duty podcast series - Listen to our new podcast series, looking at the next steps firms need to take in order to meet this new higher standard ahead of the end of the implementation period – Listen here.

3. Analysis on SEC enforcement action against chief compliance officer - Read here.

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