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.

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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 behavior.

To help financial services organizations be proactive about misconduct, 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.

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