Handbooks for Professionals in the Commodity & Energy Markets

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Senior Managers & Certification Regime

About accountability, certification, conduct rules and culture

Over the years, in the financial markets and in the business of financial institutions, lots of scandals, crises and liquidations have been experienced. Raterigging by banks, rogue trading by market participants and mis-selling by financial intermediaries have formed reasons to introduce the Senior Managers and Certification Regime. The objective of the regime is to reduce harm to consumers and to strengthen market integrity. This is achieved by making individuals more accountable for their conduct and competence. The package is made up of three components, namely direct accountability to the authorities, fit and proper employees and conduct rules.

24.95

Name Range Discount
Quantity Discounts 21 - 50 5 %
Quantity Discounts 51 - 100 10 %
Quantity Discounts 101 - 200 15 %
Quantity Discounts 200 - 5000 20 %
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Description

Over the years, in the financial markets and in the business of financial institutions, lots of scandals, crises and liquidations have been experienced. Raterigging by banks, rogue trading by market participants and mis-selling by financial intermediaries have formed reasons to introduce the Senior Managers and Certification Regime. The objective of the regime is to reduce harm to consumers and to strengthen market integrity. This is achieved by making individuals more accountable for their conduct and competence. The package is made up of three components, namely direct accountability to the authorities, fit and proper employees and conduct rules.

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