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. This session explores:
* 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
Presented by Chantal Peters, an Associate in TLT LLP’s Financial Services Disputes and Investigations Team, specialising in contentious regulatory investigations and governance, risk management and advisory work.