The role of T&C in culture

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It seems to me that everyone who speaks on behalf of the FCA includes at least a reference to culture in their speeches. The leaders of our firms are charged with the responsibility to set the tone of the organisation – they don’t always get it right as the cases of Tidjane Thiam(1), Jes Staley(2) and Jonathan Burrows(3) show. More recently Conor Foley(4) found himself on the receiving end of the FCA’s enforcement action for allegedly engaging in market abuse. Fortunately, these incidents are rare. On a corporate scale, Lloyds Bank, Bank of Scotland and The Mortgage Business(5) were all…

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Vince Harvey

Compliance Cubed Financial services is constantly changing - my passion is helping firms function effectively and in compliance with FCA regulation

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