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The Financial Firms’ Perspective: How is Conduct Regulation likely to Evolve in Response to Technology Challenges?
Posted on April 13th, 2017

The Financial Firms’ Perspective: How is Conduct Regulation likely to Evolve in Response to Technology Challenges?

As I discussed in my first blog on the topic, technology is changing the conduct risk landscape. Whilst regulators look to...
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How is Conduct Regulation likely to Evolve in Response to Technology Challenges? The Regulators’ Perspective
Posted on March 28th, 2017

How is Conduct Regulation likely to Evolve in Response to Technology Challenges? The Regulators’ Perspective

One thing regulators agree on is that digital and technical innovation in financial services is changing the way customers...
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Conduct Risk Maturity Business Model: Eight Steps to Embedding Good Conduct in Financial Services
Posted on August 8th, 2016

Conduct Risk Maturity Business Model: Eight Steps to Embedding Good Conduct in Financial Services

In the last post (Conduct Risk Maturity: The 8 steps to embedding good conduct in financial services – Part 1) where we focused...
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How to drive good conduct outcomes via customer-facing remediation
Posted on August 5th, 2016

How to drive good conduct outcomes via customer-facing remediation

In its recent business plan,1 the Financial Conduct Authority (FCA) highlighted its concerns about how long-standing customers...
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Is your financial institution’s conduct and culture “millennial” proof?
Posted on August 3rd, 2016

Is your financial institution’s conduct and culture “millennial” proof?

  Introducing the millennials In contrast to the baby boomers (1946-1964) or generation X (1965-1982), millennials have grown...
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Conduct Risk Maturity: Eight Steps to Embedding Good Conduct in Financial Services – The Programme
Posted on July 18th, 2016

Conduct Risk Maturity: Eight Steps to Embedding Good Conduct in Financial Services – The Programme

Most financial services firms are not ready to close down their conduct programme altogether. Work continues apace on improving...
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