Compliance Induction - 9 March 2021
Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.
Social (S)
Consists of people-related elements both within the firm and society as a whole. Includes labor issues, human rights, customer satisfaction, data protection and privacy, and diversity and inclusion.