DRIVING INTEGRITY

Conduct RISK
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When it comes to conduct risk, our aim is to reduce our clients risk exposures. We assist you in complying with regulatory requirements and will work with you to ensure that your control environment is adequate and effective. 

It takes less time to do things right than to explain why you did it wrong – Henry Ladsworth Longfellow

Managing Conduct Risk

Within a Financial Services firm, conduct risk can be considered as the risk that decisions and behaviours lead to detrimental or poor outcomes for their customers, and the risk that the firm fails to maintain high standards of market behaviour and integrity.

Effective conduct risk frameworks consider product design, sales and post-sales, and culture and governance, as these all contribute to the ultimate outcomes experienced by customers.

What are the 5 conduct questions?

 

  1. What proactive steps do you take as a firm to identify the conduct risks inherent within your business?
  2. How do you encourage the individuals who work in front, middle, back office, control and support functions to feel and be responsible for managing the conduct of their business?
  3. What support does the firm put in place to enable those who work for it to improve the conduct of their business or function?
  4. How does the Board, executive or senior management gain oversight of the conduct of business within their organisation and, equally importantly, how does the Board or Exco consider the conduct implications of the strategic decisions that they make?
  5. Has the firm assessed whether there are any other activities that it undertakes that could undermine strategies put in place to improve conduct?

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Regulatory Solutions Tailored To Your Needs

We service Accountable Institutions and Financial Services Providers across different sectors and jurisdictions.

Our Market Conduct Services Include:

  • Advisory support leveraging the expertise of our team and correspondent partners in the UK, UAE and Australia
  • Implementation support by our team of licensed compliance officers
  • Risk management
  • Compliance practice management for FSP’s and Franchises
  • Customised staff training
  • Accredited training for compliance professionals
  • Regulator training
  • Retainer packages

 

 

 

Enabling the outcomes of

“Treating Customers Fairly”

 

 

 

 

 

 

 

 

1. Culture and Governance 

2. Product Stability

3. Disclosure 

4. Suitable Advice 

5. Performance and Service 

 

 

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Navigate Compliance Team