Critical success factors for establishing a Conduct framework

The Financial Services market remains plagued by high profile incidents and declining public perception, leading to increased scrutiny and reform. Change is at the heart of long term survival.

UK, EU & US regulators continue to focus on conduct and culture, with an ever increasing shift by Asia Pacific regulators to follow suit. In our experience the critical success factors for Conduct & Culture Programmes are:

  • Owned and governed by the C-Suite;
  • Approached holistically and continuously evolved;
  • Measured and monitored by quantitative and qualitative metrics;
  • Integrated with other initiatives across the firm (regulatory change, business and strategic change);
  • Articulated and brought to life for people with practical and relevant examples;
  • Focused on outcomes and emerging trends.