The UK’s new banking watchdogs are forcing top financial services executives to put themselves on the line and personally guarantee that their firms have dealt properly with regulatory concerns.
The Prudential Regulation Authority and the Financial Conduct Authority are using signed “attestations” to make sure the leaders of big institutions take their concerns seriously and can be held accountable if something goes wrong.
“If we find a particular problem has not been addressed, the attestation would make it easier to take enforcement action. That is part of the point,” said Clive Adamson, FCA director of supervision.
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