Conduct Coffee Break Compliance — Episode 6

Episode 6— How have you identified the management information (MI) to oversee conduct?

Lesson Recap — Questions you need to ask:

1. How does conduct MI align to business/product goals and conduct risks/outcomes?
2. How does conduct MI inform senior management whether they are within risk appetite, show trends, root cause analysis, and identify potential ‘read across’?
3. Is data analytics used sufficiently? Eg to detect suspicious patterns in data from Gifts and Entertainment, Personal Account dealing, P&L, Whistleblowing and Personal Conflicts systems.

Conduct Risk Mission?

If you need help with Conduct Risk please visit: www.theconductmind.com

or email me personally at tyler.woollard@theconductmind.com