Assure

UK Financial Services Conduct regulation puts responsibility on firms to foster a culture of compliance and risk management for all your staff rather than setting hard-and-fast rules.

While this approach has helped to shape the FS sector in a positive direction, it also poses a challenge for firms. Without specific rules it can be hard to interpret regulatory expectations.

Conduct Culture can support you by simply translating these expectations and aligning these to your business. We provide the clarity you need to achieve your goals.

How we help:

Regulatory reporting and liaison
Business Model and Strategy Review
Governance
Systems and Controls
Quality of Advice
Customer Outcomes Testing
Claims and Complaints

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