Webinar

To meet regulatory expectations firms must have a number of policy and rules in place, as well as manage conduct risk and monitor conflicts of interest effectively. In recent years, regulators have been stressing concerns on the ability of firms to manage conduct risk and highlighting that conduct is directly driven by the organization’s ethical culture.

Software works best when the right processes are in place. Changing to a new technology platform can seem daunting—but it doesn’t have to be. Knowing what to expect during a software transition helps to ensure a successful implementation.  

The Hong Kong Securities and Futures Commission (SFC) recently sanctioned a former chief executive officer of China Rise Securities Asset Management Company and suspended its head of dealing for inappropriate standards of conduct and breaching of the Code of Conduct.

Risks might be blindingly obvious once in front of you, but they do not often occur to people beforehand. That is why is so important to understand what conduct risk means, identify the risks and drivers to protect your businesses and ensure markets remain clean.

In the face of the COVID-19 pandemic, protecting vulnerable consumers is a regulatory priority. Recently, the SEC has emphasized the need for maintaining market integrity and following controls and procedures. In addition, recent SEC and FINRA actions have shown that enforcing conflicts of interest remains a priority and conduct risk-based inspections will continue to advance.