Governance, Conduct and Culture

Governance, Conduct and Culture

Purpose/Areas of focus

The TISA Governance, Culture and Conduct Committee seeks to understand and address the current issues with firms implementing and overseeing the Code of Conduct for both individuals and senior managers Certification. Additionally, it looks at the challenges with defining, implementing, measuring and evidencing a purposeful culture that reduces potential harm to consumers and markets. It is designed to serve the needs of those individuals and organisations interested in the issues surrounding these topics for a meeting point where best operating and technical practice can be shared, and common challenges debated. It will act as a focal point for TISA with regard to the operational aspects of issues relating to Governance, Culture and Conduct, including technical and regulatory matters, which specifically impact their administration and procedures, with a particular current focus on the New Consumer Duty.

Lisa Laybourn, Head of Technical Policy and Regulation leads on this work at TISA

Participating member firms

Chair: Katharine Harle, Dentons LLP

Deputy Chair: Arup Sen, Norton Rose Fulbright

Ascentric

Aviva Plc

Blackrock IM (UK) Limited

BNY Mellon

Brewin Dolphin Ltd

Dentons

Duff & Phelps

Equiniti

FNZ

Hargreaves Lansdown

Invesco

Jupiter Asset Management

LV=

Model Office

Ninety One UK

Northern Trust

Norton Rose Fulbright

Optima Consulting Partners Limited

Orbis Investments (U.K.) Limited

Parmenion Capital Partners LLP

Peter Bloxham

Pinsent Masons

Platform Securities

Praemium (UK) Ltd

Punter Southall Wealth Limited

RBC Investor & Treasury Services

Rigg Wright Associates Inc Ltd

Sanlam Financial Services UK Ltd

Seven Investment Management

Smith & Williamson Investment Services Ltd

SS&C

St. James’s Place Wealth Management

Taylor Wessing

Walbrook Partners

Willis Towers Watson

Worksmart Limited

Governance, Conduct and Culture

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If you are a TISA member, and would like to get involved with this work, please get in touch

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