Culture and Conduct Risk: Regulators’ Expectations and Current Areas of Focus
There is currently a spotlight on culture and conduct in financial services. It is a key feature and priority in regulators’ business plans, with the aim of encouraging healthy cultures where conduct and fair customer outcomes are at the forefront of firm’s businesses.
Everyone within a firm can contribute to the overarching culture of a firm and can play a role in setting the cultural direction of the firm. The aim of this session is to explore:
- The role culture can play in mitigating risk
- Regulators’ expectations of firms in managing culture and conduct risk
- The current focus on non-financial misconduct
- Practical ways of assessing cultural direction
Chantal Peters is an Associate in TLT LLP’s Financial Services Disputes and Investigations Team, specialising in contentious regulatory investigations and governance, risk management and advisory work.
She has significant experience advising financial institutions in relation to internal investigations and enforcement action by the FCA. Chantal has a particular focus on internal investigations arising out of whistleblowing and conduct related issues.
She has experience advising on a broad range of regulatory matters including s.166 Skilled Person’s reviews, large scale remediation projects and change programmes.
Chantal also has a wealth of experience advising major banking clients in relation to governance and complex risk management issues, including advising on regulatory engagement and reporting, senior manager accountability, fitness and proprietary, horizon scanning, gap analysis and annual policy reviews.
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