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Apply a Top-down approach for Regulatory Compliance Ops

Governance, MiFID, Compliance expert, Tone at the Top, Top-down, MiFID2, Audit Findings,

A top-down approach highlights the behaviour of regulatory changes in the financial institution and helps the Compliance Officer to build a strong Governance. This principle is also known as “tone at the top” in ethical and responsible business b...

How to implement efficient corporate governance standards ?

Conduct Risk, Compliance, Governance, Financial firms,

It is a framework within which operational and behavioral standards for the board, the executive management and the wider staff are set. Hierarchy in harmony. It comes largely in an accountability movement, better management and better control. It is...

Conduct Risk - Changing governance principles

Conduct Risk, Governance, Risk, Compliance, Financial firms, Risk Management, Transparency, EU, Europe, Ethics,

Conduct Risk has been the hot topic during the past few years and it's scope falls outside the traditional domains of risk like liquidity, market, credit and operational risk. Looking at peers in the market will allow benchmarking and reflection...