Day: 29 October 2019

Conduct Risk – FCA Insight article considers how to foster a culture of challenge

On 23 October 2019, the Financial Conduct Authority (FCA) published an Insight article entitled ‘Removing our biases: some behavioural tools for the workplace’. The article considers how firms can avoid ‘groupthink’ and ensure effective organisational decision-making based on challenge and planning around existing biases. It follows on from previous FCA insight articles on diversity and developing …

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Transaction Reporting

Transaction reporting

On 18 October 2019, the Financial Conduct Authority (FCA) has published Market Watch issue 62. This issue covers personal account dealing and transaction reporting. Transaction reporting In Market Watch 59, the FCA highlighted common errors observed in transaction reports. The FCA’s ongoing monitoring of transaction reports and engagement with firms has identified further data quality …

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