About Us

Welcome to The Conduct Mind

Who Are We

We are a compliance consultancy specialising in Conduct Risk

Our Mission

To help senior management to fulfil their responsibilities by establishing the right Conduct Risk framework

What We Do

We help to advise and implement conduct risk procedures that meet the regulators’ expectations

If you are concerned about any part of conduct risk, then we can help

We can help senior management to fulfil their responsibilities by establishing the right framework and putting in place the policies and procedures required to instil and enforce the right culture and governance arrangements.

  • Reviewing product origination and approval
  • Delivery channels
  • Incentive schemes
  • Market practices
  • Obligations to Customers
  • Advice on the appropriate allocation of responsibility across the three lines of defence
  • Embedding an ethical culture into the firm
  • Advising on the design of an effective governance structure
  • Creating appropriate MI for supervisory oversight
  • Update compliance documentation to manage conduct risk
  • Develop MI that tests for fair outcomes
  • Review every aspect of your conduct risk framework
  • Carry out independent outcomes testing
  • Submitting reports to senior management

Would you like to start a Conduct Risk project with us?

Choosing to effectively manage conduct risks is likely to be one of the most impactful business decisions you will make.

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