Regulatory focus on behaviour & outcomes. Are you ready?


“A significant part of this debate (Responsibility to act in the public interest) turns on the issue of outcomes versus rules. Rules are a crucial mechanism for delivering outcomes, but can also be interpreted so rigidly as to become a box-ticking exercise”. “This is the lesson we want to see reflected in a firm’s behaviour…. Any organisation that prioritises being within the rules over doing the right thing, will not stand up to (Regulatory) scrutiny for long.” Andrew Bailey’s, CEO of the FCA, July 2019’s FCA Annual Public Meeting This poses several questions: How do firm’s evidence that they are…

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