Best Practices in Managing Conduct Risk 2015
The New Regulatory Frontier for Risk, Compliance and Operations in Financial Institution
Following the financial crisis, conduct risk has emerged as an important agenda for capital markets regulators. As regulatory reforms change the structure of capital markets, law makers are increasingly examining the behaviour and conduct of market participants with a view to imposing fines and other penalties for actions that may have only incurred a warning in the past. As a result, sellside and buyside institutions are leveraging internal resources as well as external assistance to develop best practices for addressing conduct-related risks.
https://research.greyspark.com/2015/bofnk/
