Bespoke Conduct Risk Solutions

We are able to adapt our approach to meet your requirements, offering timely and cost effective solutions in line with regulatory requirements and best industry practice. 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.

Bespoke Conduct Risk Services

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.

Governance Structure

  • 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

Independent Review

  • Review every aspect of your conduct risk framework
  • Carry out independent outcomes testing
  • Submitting reports to senior management

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

Working with you to design and document your Conduct Risk Framework from assessing your Conduct Risk appetite and Conduct Risk Drivers to developing Conduct Risk Management Information and governance arrangements

Undertaking bespoke reviews of some or all of your Conduct Risk Framework (including governance arrangements) to identify opportunities for improvements to processes and procedures that would reduce the risk of Conduct Risks materializing

Enhancing your Conduct Risk strategy and arrangements to reflect the evolving Conduct Risk landscape, taking into account the FCA’s key drivers of Conduct Risk

Determining the potential Conduct Risks inherent to the scale, scope and complexity of your firm’s activities

Creating Conduct Risk policies and procedures.

Assessing, reviewing and/or drafting Conduct Risk governance frameworks including committee terms of reference, management information templates and senior management oversight arrangements

Reviewing and assessing your firm’s Conduct Risk Management Information Dashboard, Conduct Risk Key Risk Indicators and Key Performance Indicators relative to the identified Conduct Risk Drivers and wider Conduct Risk Framework already developed

Review the governance control framework around product inception

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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