Stepping up Conduct Surveillance: 10 Must-Haves for Success
In every corner of the world, regulators are aggressively pursuing firms for conduct infractions, ranging from rogue trading to suitability breaches. But while conduct risk may have its roots in regulations, today it is evolving into something much bigger. As firms aspire to cultures driven by ethical behaviour, conduct surveillance can bring much-needed transparency.
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Editorial Team
- September 16, 2021
- 1 minute
| In every corner of the world, regulators are aggressively pursuing firms for conduct infractions, ranging from rogue trading to suitability breaches. But while conduct risk may have its roots in regulations, today it is evolving into something much bigger. As firms aspire to cultures driven by ethical behaviour, conduct surveillance can bring much-needed transparency. Unfortunately, today’s siloed approaches make it difficult to get a big-picture view of conduct across the organisation. |
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