Governance, Conduct and Culture Committee

Help firms understand, implement and develop industry good practice guides in all related matters

Industry challenge

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.

Group purpose

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.

The Committee has overseen and acted as steering to TISA’s work on Consumer Duty during the last period.

TISA submitted responses to the Consultation on FCA’s Edinburgh Reforms SM&CR review and the HMT Call for Evidence.

Response to the FCA’s Diversity and Inclusion consultation was finalised in collaboration with members and submitted.

New Best practice around conduct scenarios relating to social media usage is progressing.

Participating member firms

Aegon UK PLC
Alpha FMC
Ashurst Risk Advisory LLP
Bank of Ireland
Baringa Partners LLP
Blackrock Investment Management (UK) Limited
BNY Mellon
Broadridge Financial Solutions, Inc
CMC Markets Investments Limited
Evelyn Partners
Financial Software
Hargreaves Lansdown
James Sharp & Co
Jupiter Asset Management
M&G Investments
Model Office
Morningstar Wealth (UK) Ltd

Northern Trust
Novia Financial
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
Rigg Wright Associates Inc Ltd
St James’s Place Wealth Management
Taylor Wessing
Tenet Group
the lang cat
Walbrook Partners
Willis Towers Watson
Winterflood Securities Limited
Worksmart Limited

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

Chairs: Katharine Harle, Dentons and David Mapplebeck, Northern Trust

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

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