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April 13, 2017

Conduct risks are at the very top of the regulatory agenda. But many financial institutions are uncertain about what regulators mean by the term "conduct risk" and unclear about what they as firms should be doing about it. And a further part of the problem is that regulators are (deliberately) putting it back to firms to work out for themselves what the right outcomes need to be for their businesses.

Here is A&M’s perspective on these critically important questions, based on a deep understanding of what regulators are thinking about these issues, and why.

To “do the right thing,” firms will have to make important judgements about how they do business and how they interface with clients and counterparties. Horizontally, firms will have to look across business areas to identify the key risks and design policies and processes that integrate all the new regulatory requirements. Vertically, firms will have to ensure that this is all “owned” by senior management.

A&M is very well placed to assist firms in answering the difficult questions on conduct risk. Our team of senior former regulators has in-depth knowledge and insight into the regulatory requirements and agenda, and vast experience in identifying, assessing and mitigating regulatory risks and issues and is partnered with industry professionals with extensive senior-level executive and advisory expertise.

Read the full report here