10 Dec 2014

The Conduct Rules: compliance and legal functions in the line of fire

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Regulatory litigation alert email

In this issue we consider the implications of the proposed Conduct Rules, which will replace the Statements of Principle for Approved Persons ("APER") for "relevant firms" (UK banks, building societies, credit unions and PRA-designated investment firms), and will apply to a far wider population of staff.

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Tony Woodcock

Tony Woodcock
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