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Managing conduct risk

Addressing drivers, restoring trust

This paper identifies the fundamental drivers of misconduct in the financial services industry, with a view of helping firms drive sustainable solutions to improve conduct and restore trust.

Conduct is a lens into the culture of organizations, and conduct failings seem to be widespread across several jurisdictions, cut across financial services organizations and involve both the retail and wholesale sides of business. Improving conduct within the industry is an essential part of rebuilding trust and supporting future sustainable growth. Further, the regulatory focus on conduct is expected to persist and firms will continue to face pressure to be alert to poor behaviour.

To help financial services organizations be proactive about conduct, this paper, from the Deloitte Center for Regulatory Strategy, explores its fundamental drivers, the various industry and regulatory initiatives that have arisen in response, and some of the emerging technologies firms can enlist to help manage conduct risk.

(English version)

The Deloitte Centre for Regulatory Strategy

The Centre for Regulatory Strategy is a source of critical insight and advice, designed to help clients to anticipate change and respond with confidence to the strategic and aggregate impact of national and international regulatory policy.

With regional hubs in the Americas, Asia Pacific and EMEA, the Centre combines the strength of Deloitte’s network of experienced risk, regulatory, and industry professionals—including a deep roster of former regulators, industry specialists, and business advisers—with a rich understanding of the impact of regulations on business models and strategy.

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