Blogger Archives: Richard Hampton

Richard Hampton

Richard Hampton is Group Director, Regulatory Strategy for Willis and blogson behalf of Willis' Financial Industry Group. He joined Willis in 2010 as Chief Compliance Officer, UK, and has over 30 years of commercial and regulatory experience across a variety of insurance and other financial services markets. Prior to joining Willis, he was a regulatory consultant in a major City law firm, a non-executive director of the Financial Ombudsman Service and Managing Director of HSBC Bank’s General Insurance operations in the UK.

The Relationship Between Regulation and Corporate Culture

corporate culture

The Financial Conduct Authority (FCA), formerly the Financial Services Authority, holds an Enforcement Conference every two years. The latest one, last month, was the first one under the new FCA regime. Continue reading →

FCA and the Fair Use of Client Dealing Commission – More Than “a Little Local Difficulty”?

FCA

The Financial Conduct Authority (FCA) has just published a discussion paper on the use of dealing commissions.  The paper is the result of supervisory activity in the asset management sector, as well as other regulatory engagement with stakeholders. The FCA … Continue reading →

Changes to the Approved Persons Regime

personal responsibility

In response to the 2013 Parliamentary Commission on Banking Standards report, the current Approved Persons regime for banks is being replaced with a strengthened regime for regulating senior individuals. Continue reading →