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Survey: Financial Institutions Stymied by Conduct Risk

Joe Mont | January 26, 2015

Financial institutions may talk a lot about "conduct risk," but few actually approach it with a clear definition and focus. Eighty-one percent of respondents in a new survey conducted by Thomson Reuters Accelus say they do not have a working definition of what that specific risk factor encompasses.

The latest edition of the Thomson Reuters Conduct Risk Report follows up on last year’s study by looking at what practical actions firms have taken over the past 12 months. While firms have boosted the time and resources devoted to the management of conduct risk, there is still a significant gap between awareness and implementation of effective policies across a firm, it concludes...

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