Retail & Wholesale Conduct Risk

The FTI Consulting Financial Services practice helps clients embed systems and controls that make customer interests central to all they do and maintain the integrity of the industry.

Our Services include:

  • Developing and assessing conduct risk frameworks. We review firm business models and whether potential conduct risks are identified and adequate controls are in place. Also, we evaluate end-to-end conduct risk management programmes for efficiency and effectiveness and recommend any enhancements.
  • Advising on key areas of conduct risk, including:
    • Suitability
    • Fair treatment of customers
    • Complaints handling
    • Best execution
    • Conflicts of interest
    • Transaction reporting
    • Pre- & post-trade transparency
    • Financial promotions
    • Market infrastructure
    • Vulnerable customers
    • Other areas subject to pending regulatory change (e.g. MiFID II)
  • Financial benchmarking including development of processes that ensure compliance with global requirements, reviewing and assessing benchmark submission policies and procedures, and evaluating oversight arrangements.
  • Monitoring and surveillance programmes including evaluating existing programmes and recommending improvements based on market knowledge. We also develop new tools for testing controls or perform specific transaction tests using structured and unstructured data.
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