Management information for conduct risk

Submitted on 17th May 2019

The concept of “conduct risk” has risen to the top of firms’ and regulators’ agendas in recent years. In the UK, the FCA expects conduct risk management to be embedded into firms’ risk management frameworks, supported by appropriate management information (MI). Building on current regulatory and supervisory expectations and our experience of what works well in practice at firms, the EMEA Centre for Regulatory Strategy have identified 10 principles of strong conduct risk MI that we believe serve as a sound foundation for conduct risk MI across all financial services firms.

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