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Conduct and Accountability in Financial Services
A Practical Guide
Conduct and Accountability in Financial Services
A Practical Guide
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Description
'An invaluable source of accurate regulatory compliance information to draw from. Well laid out, clear and detailed.' - Rocky Hirst, EMEA Head of Compliance for EMEA Institution Credit Management, Citi
'I am finding it a real treasure trove, and truly practical.' - Kathy Jacobs, Director Consultant, Regionvale
'A brilliant book which is very useful and essential reference in my everyday work. I have also recommended it to colleagues.' - Djan Direk Chartered FCSI, FICA, CAMS, Manager - Compliance Monitoring, Assurance and Governance at First Abu Dhabi Bank
'My thanks to you for producing such a brilliant piece of work. It has helped me understand the UK financial industry.' - Rishikesh Sharma, Senior Counsel - Government of India The Honourable Society of The Inner Temple, London*
Conduct and Accountability in Financial Services: A Practical Guide provides comprehensive, practical and expert guidance on how best to comply with the Senior Managers & Certification Regime.
The Second Edition has been fully revised to include:
- The FCA's consultation on the proposed update to SM&CR
- An expanded chapter on technology in a post pandemic hybrid world
- Coverage of the Consumer Duty
- Overarching principles of how to manage personal regulatory risk
- An overview of related global developments
- Recent enforcement actions and the lessons to be learned
This is a must-read text for all staff in UK financial services firms, professional associations, industry bodies, regulators, academics and advisers to financial services organisations.
This title is included in Bloomsbury Professional's Banking and Finance Law online service.
*Reviews of a previous edition
Table of Contents
2. Specifics of the Senior Managers and Certification Regime as it Applies to Banks and Large Investment Firms
3. Specifics of the Senior Managers and Certification Regime for Insurers
4. Extension of SM&CR to (Almost) all Financial Services Firms
5. Key roles in Embedding and Overseeing the SM&CR
6. Practical Aspects of Better Risk Mitigation
7. Practical Challenges to Overcome
8. Role of Culture and Conduct Risk
9. Other Areas Personal Liability Can Arise
10. Enforcement
11. Overarching Principles for How to Manage Personal Regulatory Risk
12. Regulatory Relationship Management
13. Technology
14. Overview of Related Global Developments
Appendices
Product details
| Published | Sep 24 2026 |
|---|---|
| Format | Paperback |
| Edition | 2nd |
| Pages | 424 |
| ISBN | 9781526529060 |
| Imprint | Bloomsbury Professional |
| Dimensions | 248 x 156 mm |
| Publisher | Bloomsbury Publishing |
About the contributors
Reviews
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An invaluable source of accurate regulatory compliance information to draw from. Well laid out, clear and detailed, I also look forward to the second edition of this important contribution to the field.
Rocky Hirst, EMEA Head of Commercial Bank Compliance, Citi
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An excellent overview of conduct, culture, and governance expectations worldwide and talk[s] about the implications of the global focus on culture and conduct risk.
Julie DiMauro, The FCPA Blog (of the previous edition)
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I am reading your and Susannah Hammond's book in preparation for the Central Bank of Ireland introducing the SEAR regime. I am finding it a real treasure trove, and truly practical. I am also President of the ACOI so have to help prepare the profession for the changes.
Kathy Jacobs, Director Consultant, Regionvale (of the previous edition)
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Recently, I have started reading your work Conduct and Accountability in Financial Services: A Practical Guide. I wish to express my thanks to you for producing such a brilliant piece of work. It has helped me understand the UK financial industry. Thank you very much again ... I am really happy that you are continuing with this insightful work. It is indeed an excellent book on financial services regulation.
Rishikesh Sharma, International Trade, Litigation and Arbitration - England & Wales/India. The Honourable Society of The Inner Temple, London (of the previous edition)
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I would like to say your book Conduct and Accountability in Financial Services (which I have read many times already) is a brilliant book which is very useful and essential reference in my everyday work. I have also recommended it to colleagues. If you do have plans in writing further books on conduct / culture please do let me know.
Djan Direk Chartered FCSI, FICA, CAMS, Manager - Compliance Monitoring, Assurance and Governance at First Abu Dhabi Bank (FAB) (review of the previous edition)

























