Special report: Conduct risk

A series of articles about conduct risk


rbs3News – RBS warns of rise in misconduct costs in 2015
The bank warns that litigation and conduct costs could jump this year and expects the biggest hit from RMBS-related investigations in the US

finance-exam-shutterstock-221612203News – Banks call for compulsory exams for FICC professionals
Banks support mandatory qualifications – including conduct training - in fixed income, commodities and currency trading

angry-dogFeature – Hell hath no fury: banks irk regulators at their peril
The UK and the US adopt more interventionist approach to day-to-day financial regulation, punishing obstinacy and rewarding obedience

financial-conduct-authority-canary-wharfFeature – Tough UK rules for top bankers make business personal
Senior executives at UK banks and at local branches of foreign banks will face the risk of fines under the Senior Managers Regime

Karina McTeague FCAQ&A – Prevention trumps prosecution, says UK's retail banking overseer
The FCA's Karina McTeague highlights the regulator's focus on acting early and working with firms to prevent misconduct

boardroomOpinion – UK banking reform and the Senior Managers Regime
UK regulators will be stepping up oversight of financial sector employees in 2015. Law firm Norton Rose Fulbright assesses at the likely consequences

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Investment banks: the future of risk control

This Risk.net survey report explores the current state of risk controls in investment banks, the challenges of effective engagement across the three lines of defence, and the opportunity to develop a more dynamic approach to first-line risk control

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