Evolution of financial markets towards greater personal accountability

  • Time line discussion of financial market investigations
  • Explanation of move towards personal accountability and responsibility
  • Discussion of rise in open civil and criminal investigations by FCA
  • Focus on accountability in FX


How personal can accountability get?

  • Discussion of criminal cases in FX markets
  • First-hand account of being involved in, and living through a criminal investigation
  • Explanation of where it went wrong in FX and learning points on what should have been done differently
  • Focus on what the regulator wants from culture in institutions


Culture change and personal accountability

  • Explanation of personal accountability top down: SMCR
  • Explanation of personal responsibility bottom up: Culture change
  • Discussion of individual conduct and real cases


Regulator, Bank and Individual Approach to Investigations

  • FCA approach to investigations
  • SMCR responsibilities and attestations
  • Discussion of real cases and issues created
  • How do you protect yourself?


The FX Global Code

  • Importance of the code, what is the code, how the code came about
  • Timeline of code developments alongside regulation
  • Explanation of core principles of the code
  • Practice code test questions


The FX Global Code: Ethics

  • What the code says in principles 1-3
  • How to apply this in your everyday role
  • Practice code test questions


The FX Global Code: Governance, Risk Management and Compliance, Confirmation and Settlement

  • What the code says in principles 4-7, 24-41, 42-55
  • How does this fit within legislation of SMCR
  • Practice code test questions


The FX Global Code: Execution

  • What the code says in principles 8-18
  • Interactive scenarios
  • Practice code test questions


The FX Global Code: Information Sharing

  • What the code says in principles 19-23
  • Interactive scenarios
  • Practice code test questions

 

 

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