Conducting ourselves properly?


In 2019 the FCA embarked on engagement work entitled 5 Conduct Question Programme, an exercise to establish, across wholesale banks, how effective firms had been at embedding the desired changes among staff. In case you haven’t come across them before “The 5 Conduct Questions” are; What proactive steps do you take as a firm to identify the conduct risks inherent within your business? How do you encourage the individuals who work in front, middle, back office, control and support functions to feel and be responsible for managing the conduct of their business? What support (broadly defined) does the firm put…

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About Author

Julia Kirkland

Through our award winning training and consultancy partnership FSTP LLP we hope to become a trusted provider of services to client firms across Financial Services. Specialties: Training and consultancy, project and interim management from regulatory issues through to management development and board services. Chartered Member of the Chartered Institute of Securities & Investment

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