Want to Mitigate Conduct Risk & Improve Surveillance?
January 21, 1:00 pm EST
In every corner of the world, regulators are aggressively pursuing firms for conduct infractions, ranging from rogue trading to suitability breaches. Furthermore, regulations like the FCA’s SM&CR are raising the bar on accountability. Senior managers can now face personal fines, even jail time, for reckless decisions.
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 behavior, conduct surveillance can bring much-needed transparency. Unfortunately, today’s siloed approaches to surveillance make it difficult to get a big-picture view of conduct across the organization.
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