Compliance Clarified – a podcast by Thomson Reuters Regulatory Intelligence Season 5, Episode 3: Evolving conduct risk standards
11 snips
May 31, 2022 Susannah Hammond, Host of the Compliance Clarified podcast, discusses the evolving supervisory approach to conduct risk with guests Helen Chan and Mike Cowan. They explore the concept of conduct risk, the different regulatory approaches in Hong Kong, Singapore, and the UK, and the importance of good customer outcomes. The podcast also highlights the need for regulating the regulatory perimeter and improving customer treatment, addressing vulnerable customers, and promoting competition.
Chapters
Transcript
Episode notes
1 2 3 4 5
Introduction
00:00 • 3min
Understanding Conduct Risk in the Financial Services Sector
02:52 • 14min
Regulatory approaches and customer outcomes
16:48 • 7min
Regulating Regulatory Perimeter, Redress Frameworks, Appointed Representatives Regime, and Financial Crime and Market Abuse
24:14 • 4min
Exploring Conduct Risk Standards
28:25 • 11min