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Tackling the increased regulatory exposure of senior approved persons

A fault line has opened up in the area of personal regulatory duties of senior management at medium-high and high-impact financial services firms. It is now plain that there is a significant gap between the FSA’s view of the steps that senior approved persons must be taking, and the understanding of individuals in management positions at financial institutions.

As part of a cross-sector project entitled “Project Zeppelin”, we are working with a range of clients to ensure that their senior approved persons are fully aware of the
standards now expected of them by the FSA, and to equip them to fulfil these onerous obligations as part of their day-to-day responsibilities.

In this financial services regulation podcast we summarise what has happened and some of the key action points for financial institutions.

If you would like further information, or would like to discuss any of the points raised in the podcast and their specific implications for your business, please contact financial regulatory partners Nathan Willmott, Sidney Myers, Nick Kynoch, Jacob Ghanty or your usual contact at BLP.

Download financial regulation update