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Conduct Culture

  In the UK, FCA is committed to a future where conduct regulation is driven (and measured) by culture rather than simple adherence to rules.
 
This means there is an increasing need for practical  interpretation of regulatory policy.

FCA has started to communicate its vision of the future of Conduct regulation in the UK. For financial services businesses the future is about accountability, balancing the interests of all stakeholders and delivering value for money to a pre-defined target market. For consumers the future is about transparency and having their information needs met.

This means there is an ever greater need for conduct issues to be front and centre of strategic planning and at the heart of regulated firms’ business models.

Firms don't need to throw money away on retrospective compliance strategies. Instead they must manage conduct risk proactively by aligning corporate purpose with the aims and objectives of all stakeholders: clients, colleagues, shareholders and the wider community.


Experience

  • Acting as Skilled Person
    • Conduct of Business
  • Design and build of Conduct Risk Frameworks 
    • Product Governance
    • Reward & Recognition
    • Training & Competence
    • Quality Assurance
    • Customer Outcome Testing
    • Financial Promotions
    • Claims, Complaints, Breach Reporting
    • Whistle Blowing
  • Banking, Consumer Lending, Product Providers, Wealth managers

Skills

  • Strategic regulatory thinking and planning
    • Business model analysis
    • Governance arrangements
  • Clarifying and simplifying regulatory requirements
    • proportionality
  • Transforming culture
  • Project management and planning
  • Building and running regulated teams
  • Regulatory due diligence
Most of our work is confidential in nature so details cannot be published. We are happy to provide more specific information about work we have undertaken.

Let's talk!

Let us know if we can tell you more about our practical experience and the skills we are able to provide.