I founded The Conduct Mind (TCM) to provide Conduct Risk expertise and compliance consulting to the financial services industry. TCM was created to provide a range of support from a review of Conduct Risk arrangements and training to providing bespoke advice on specific Conduct Risk such as Management Information.
Since the 2008 financial crisis, there has been a significant increase in both domestic and international regulation, creating complex challenges for firms across the industry. It has become paramount that firms are able to demonstrate to the regulator that all of their regulatory responsibilities are met and risks mitigated, or risk high penalties and reputational damage.
The constant need for financial service firms to adapt puts pressure on operations, resources and skills. Firms are examining their business models and carrying out strategic trend analysis to respond effectively to regulatory developments, challenges and opportunities.
TCM are able to adapt or approach to meet your requirements, offering timely and cost effective solutions in line with regulatory requirements and best industry practice.