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| less than a minute read

The game may have changed (its location) but the rules have stayed the same

This FT article pulls together the guidance and speeches that have emerged from the UK regulator around its expectations of firms whilst employees are in a remote working environment.

As the FT makes clear, the FCA is not alone in voicing these expectations. The European Securities and Markets Authority acted swiftly to set out its expectations and guidance relating to the recording of calls and the US Securities and Exchange Commission has made similar statements about its expectations regarding market integrity.

In the UK context, Market Watch 66 sets out what this translates into: the importance of robust policies, procedures and management oversight, all of which must be adapted for home working arrangements.  Critical too is training to ensure that staff are alive to new conduct risks and aware of any changes to policies and procedures implemented to address those risks.

For financial services workers, lockdowns have brought freedom from commuting and office dress codes. But the basic protocols of finance work have remained unchanged.


financial institutions, financial crime, covid-19