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In this podcast Dispute Resolution partner Gavin Lewis and Financial Regulation counsel Sara Cody examine the approach of global financial regulators to non-financial misconduct and whistleblowing. We look at some of the reasons why some regulators have begun to focus on non-financial misconduct as part of their assessment of individuals' suitability, and the increasing importance of effective whistleblowing programs.
By LinklatersIn this podcast Dispute Resolution partner Gavin Lewis and Financial Regulation counsel Sara Cody examine the approach of global financial regulators to non-financial misconduct and whistleblowing. We look at some of the reasons why some regulators have begun to focus on non-financial misconduct as part of their assessment of individuals' suitability, and the increasing importance of effective whistleblowing programs.