Conduct and Accountability in Financial Services
A Practical Guide
Conduct and Accountability in Financial Services
A Practical Guide
Buying pre-order items
Ebooks and Audiobook
You will receive an email with a download link for the ebook or audiobook on the publication date.
Payment
You will not be charged for pre-ordered books until they are available to be shipped. Pre-ordered ebooks will not be charged for until they are available for download.
Amending or cancelling your order
For orders that have not been shipped you can usually make changes to pre-orders up to 72 hours before the publishing date.
Payment for this pre-order will be taken when the item becomes available
Description
Provides comprehensive and expert guidance on how best to implement and comply with the Senior Managers & Certification Regime (SM&CR) as well as acting as a guide to rule book requirements and regulatory expectations, it provides an in-depth look at the implications of the global focus on culture and conduct risk.
The second edition has been fully revised and updated and contains:
- An expanded chapter on technology in a post pandemic hybrid world and given the heightened regulatory focus
- Analysis of the Financial Services and Markets Act 2023 and how it affects SM&CR
- Coverage of the new consumer duty
- Details of the impact of Brexit
- An overview of cryptocurrencies and cryptoassets
- AML/sanctions against a backdrop of the continuing conflict in Ukraine
This title is included in Bloomsbury Professional's Banking and Finance Law online service.
Accessibility Information
Additional accessibility information
- PDF/UA-2, 1.4
- accessibility@bloomsbury.com
Hazards
The publication contains no hazards
Support for non-visual reading
Has alternative text descriptions for images
Navigation
- Page list to go to pages from the print source version
- Elements such as headings, tables, etc for structured navigation
- All or substantially all textual matter is arranged in a single logical reading order
Table of Contents
2. Specifics of the Senior Managers and Certification Regime as it Applies to Banks and Large Investment Firms
3. Specifics of the Senior Managers and Certification Regime for Insurers
4. Extension of SM&CR to (Almost) all Financial Services Firms
5. Key roles in Embedding and Overseeing the SM&CR
6. Practical Aspects of Better Risk Mitigation
7. Practical Challenges to Overcome
8. Role of Culture and Conduct Risk
9. Other Areas Personal Liability Can Arise
10. Enforcement
11. Overarching Principles for How to Manage Personal Regulatory Risk
12. Regulatory Relationship Management
13. Technology
14. Overview of Related Global Developments
Appendices
Product details
| Published | 04 Jun 2026 |
|---|---|
| Format | Ebook (PDF) |
| Edition | 2nd |
| Pages | 424 |
| ISBN | 9781526529084 |
| Imprint | Bloomsbury Professional |
| Publisher | Bloomsbury Publishing |






















