Conduct risk poses an existential threat to companies across industries and jurisdictions because regulators, auditors and other oversight professionals are increasingly holding senior managers accountable for the actions of individuals associated with a firm.
But what exactly is conduct risk, and how can technology help mitigate it? This white paper covers topics including:
- Background of conduct risk as top regulatory enforcement priority
- Three of the most common conduct risk scenarios
- How recent advances in regtech can mitigate conduct risk
- PDF, Size 0.34 mb