Help firms understand, implement and develop industry good practice guides in all related matters
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.
Governance, Conduct and Culture aims to help firms understand, implement and develop industry good practice guides in the New Consumer Duty, D&I, SM&CR and all other matters related to governance, conduct and culture.
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Aegon UK PLC
Alpha FMC
Bank of Ireland
Baringa Partners LLP
Blackrock Investment Management (UK) Limited
BNY Mellon
Brewin Dolphin Ltd
CMC Markets Investments Limited
Dentons
Equiniti
Evelyn Partners
Financial Software
FNZ
Hargreaves Lansdown
Hogan Lovells International LLP
Invesco
James Sharp & Co
Jupiter Asset Management
Kroll
M&G Investments
Model Office
Morningstar Wealth (UK) Ltd
Ninety One UK
Northern Trust
Novia Financial
OneFamily
Optima Consulting Partners Limited
Orbis Investments (U.K.) Limited
Parmenion Capital Partners LLP
Peter Bloxham
Pinsent Masons LLP
Platform One Limited
Quilter (formerly Old Mutual Wealth)
RBC Brewin Dolphin
RBC Investor & Treasury Services
Revolut Ltd
Rigg Wright Associates Inc Ltd
SS&C
St James’s Place Wealth Management
Taylor Wessing
Tenet Group
Walbrook Partners
Willis Towers Watson
Winterflood Securities Limited
Worksmart Limited
Lisa Laybourn, Head of Technical Policy and Regulation leads on this work at TISA
Chair: Katharine Harle, Dentons