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Forward-looking and outcomes-focused: Embedding conduct risk into your risk management framework

Published on: Nov 15, 2016

Global regulatory scrutiny of wholesale principal sales and trading businesses has increased, and regulators are raising hefty criminal charges against key financial services institutions and employees. How can the design and implementation of controls targeted at addressing conduct risks across the three lines of defense help organizations avoid the perception of unfair client treatment, firm position abuse, and failure to maintain market integrity? We'll discuss:

  • Developing proactive mitigation strategies.
  • Reducing the likelihood of a major ethics failure.
  • Managing regulatory requirements.
  • Differentiating your organization from your competitors'.

Learn how proactively dealing with control risk can help protect your bottom line and provide marketplace advantage.

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