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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.

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Conduct is a lens into the culture of organisations, and conduct failings seem to be widespread across several jurisdictions, cut across financial services organisations 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 organisations be proactive about misconduct, this paper, from the Deloitte Centre 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.

The Deloitte Centre for Regulatory Strategy is a source of critical insights and advice, designed to assist the world’s largest financial institutions manage the strategic and aggregate impact of regional 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. Click here for more information on the Centre.

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