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Corporate finance firms help businesses raise funding and implement strategic transactions, supporting investment and growth.This brings responsibility: clients need to be able to trust that firms will act with integrity and manage any conflicts of interest. That trust underpins effective wholesale markets activity.In our Regulatory Priorities Report, we said we would assess corporate finance firms’ compliance functions and their ability to challenge the business effectively. We surveyed 411 corporate finance firms about their compliance resources and activities, receiving 382 responses. Although most firms reported carrying out key compliance activities, the findings also show where more needs to be done.There is no single blueprint for what effective compliance looks like. We found that firms operate a range of different practices. But the findings also underline an overarching principle that compliance cannot be seen as simply a series of tasks, but a culture that senior managers must embed throughout the business.
| # | Наименование новости | Тональность | Информативность | Дата публикации |
|---|---|---|---|---|
| 1 | FCA calls on private market firms to manage conflicts of interest in line with rapid growth | 0 | 4.62 | 01-01-1970 |
| 2 | Firms’ confidence, satisfaction and trust in the FCA rise | 0 | 6.77 | 01-01-1970 |
| 3 | Reshaping regulation, deliberately | 0 | 7.32 | 01-01-1970 |
| 4 | FCA restricts 6 firms following concerns over anti-money laundering controls | 0 | 9.3 | 01-01-1970 |
| 5 | Showing our workings: solving for growth, risk and trust | 0 | 6.7 | 01-01-1970 |
| 6 | UK FCA finds gaps in financial crime controls in corporate finance firms | 0 | 7.6 | 24-11-2025 |
| 7 | Managing conflicts of interest in insurance | 0 | 6.05 | 01-01-1970 |
| 8 | Three arrests in major FCA operation against criminal insider dealing ring | 0 | 8.13 | 01-01-1970 |
| 9 | Looking at how we interact with whistleblowers | 0 | 5.44 | 01-01-1970 |
| 10 | Navigating Dueling Regulations For Bank Investment Advisers | 0 | 8.62 | 22-10-2026 |