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Conduct Risk

Comprehensive Conduct Risk Framework Implementation

We help organisations establish a robust conduct risk management framework that includes clear policies and procedures on ethical conduct and compliance, mechanisms to identify and assess conduct risks, systems to monitor conduct, key metrics to measure conduct risk, and regular review and updating of the framework.

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Culture and Accountability Enhancement

We work with organisations to promote a culture that prioritises ethical behaviour and compliance, ensure accountability at all levels, and align incentives and performance metrics with good conduct.

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Training and Awareness Programmes

We develop and deliver regular conduct risk training for all staff, ongoing reinforcement of training, and organisation-wide awareness campaigns on conduct issues.

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Governance and Oversight Enhancement

We assist in establishing clear governance structures for conduct risk, ensuring board-level oversight and engagement, and implementing second and third lines of defense review processes for conduct risk.

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Management Information (MI) Optimisation

Our MI services include developing comprehensive conduct risk MI, ensuring MI is comprehensible and traceable, implementing appropriate reporting frequencies, and advising on acting upon insights from MI.

We follow a structured approach to conduct risk management, working closely with organizations to understand their specific needs and challenges

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  1. Assessment - We begin by assessing the organisation's current conduct risk management practices and identifying any gaps or areas for improvement.

  2. Framework Development - We then develop a comprehensive conduct risk management framework tailored to the organisation's specific needs.

  3. Implementation - We assist in implementing the framework, including developing policies and procedures, establishing monitoring and reporting mechanisms, and providing training and awareness programmes.

  4. Monitoring and Review - We regularly monitor and review the effectiveness of the framework and make any necessary adjustments.

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Effective conduct risk management can lead to several positive outcomes for organisations

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  1. Reduced Risk of Misconduct - By pro-actively managing conduct risk, organisations can reduce the likelihood of misconduct occurring in the first place.

  2. Improved Reputation - A strong conduct risk management framework can help organisations protect their reputation and maintain customer trust.

  3. Enhanced Regulatory Compliance - Effective conduct risk management can help organisations comply with relevant regulations and avoid costly fines or penalties.

  4. Increased Employee Engagement - A culture of ethical behaviour can lead to increased employee engagement and morale.

  5. Improved Business Performance - By managing conduct risk effectively, organisations can create a more sustainable and successful business.

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