Whitepaper written by Peter Brooke
This paper provides an overview and, to some extent a prediction, of what life will be like for firms under the supervision of the new Financial Conduct Authority and will consider some of the key components of an effective approach to Conduct Risk. It is based not only on what the FSA are saying, but also on the current responses being developed by a range of firms across the financial services spectrum.
It will be of interest to the Board, Executive Committee and senior management team as well as to risk, compliance and audit functions within firms. Whilst Conduct Risk is a particular concern to firms regulated by the FCA, this paper will also be of interest to all firms who operate in the UK regulatory environment and to subsidiaries and operations of UK based businesses operating in other jurisdictions.
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