building-window

Senior management responsibility in financial services

Global Publication December 2020

Financial services regulators have made clear their view that responsibility for the culture of a financial services firm sits at the top; if senior management create the right culture, good regulatory practice and procedures will naturally follow.

Following the 2008 global financial crisis senior management have come under increasing regulatory scrutiny and in some jurisdictions new rules have been implemented to make it easier to make them accountable for their actions. These new rules are particularly pertinent as financial services’ firms navigate their way through the COVID-19 pandemic.

This comparative guide will help you to understand how senior management responsibility in different types of financial services firm (excluding insurers) is being treated in key jurisdictions around the world. The guide can be used to review individual countries and also to create and customise comparative reports between different jurisdictions.

To request access to the senior management guide, please register to join the NRF Institute. Registration indicates acceptance of the terms and conditions which include important information about how our product will be delivered.

Members of the NRF Institute can access a range of premium content including knowledge hubs and cross-border guides.

Once registered, the guide can be found in the 'Cross-border guides'.



Contacts

Global Director of Financial Services Knowledge, Innovation and Product

Recent publications

Subscribe and stay up to date with the latest legal news, information and events...