FCA culture and conduct

Why SM&CR and effective risk management is paramount

It is vital that culture in financial services is of the highest standard. Many firms today are adopting a more principles-led approach to their FCA culture and conduct, encapsulating an overarching framework that covers more circumstances and helps protect against unknown risks.

This white paper covers four vital elements that should be considered in any FCA culture and conduct framework.

Download The White Paper

Key takeaways:

  • Ensure good culture and governance

    Take steps towards a positive culture change

  • Mitigate non-financial misconduct

    Proactively tackle non-financial misconduct

  • Apply effective risk and control frameworks

    Maximise opportunities and minimise losses with an effective system

  • Ensure effective implementation of SM&CR

    SM&CR is a key part of embedding long-lasting cultural change