If a financial regulatory body initiates an investigation into you or an individual employee, it can be a lengthy, stressful and costly process.
With the implementation of the Senior Managers & Certification Regime (SMCR), the responsibility and accountability of individuals and firms will become more onerous than ever. The SMCR aims to ensure that those running firms in the UK are held to account for the reckless actions and misconduct of employees.
What would the impact on your business be if you were subject to an investigation by a financial regulatory body?
We can also offer you corporate financial regulatory insurance.