Regulatory Alerts2020-09-10
Added
Guidelines on Individual Accountability and Conduct
The regulator issued these guidelines on 10 September 2020 to establish five high-level outcomes for financial institutions. The requirements aim to promote senior manager accountability, strengthen oversight of material risk personnel, and reinforce conduct standards across all employees. Supporting resources include frequently asked questions and an infographic to assist with implementation.
Guidelines
Published Date: 10 September 2020
Guidelines on Individual Accountability and Conduct
Guidance on the five high level outcomes that financial institutions should achieve to promote the accountability of senior managers, strengthen oversight over material risk personnel, and reinforce conduct standards among all employees.
View Document
Guidelines on Individual Accountability and Conduct
(325.8 KB)
Resources
Frequently Asked Questions on Guidelines on Individual Accountability and Conduct
Infographic on Guidelines on Individual Accountability and Conduct (261.8 KB)
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