Welcome to The Conduct Mind
Who Are We
We are a compliance consultancy specialising in Conduct Risk
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.