More surveillance needed to cut conduct risk, says Greenwich

Financial firms view reducing this risk as key

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Financial companies need to increase their surveillance activities and monitoring of employees to minimise conduct risk, while boards should promote a culture that reaffirms good behaviour to avoid the potential fines resulting from misconduct, according to financial consultancy Greenwich Associates.

The report, Conduct Risk – Connecting the Dots, highlights the shifting view of regulators on how dealers and clients should interact, noting the ability to demonstrate good conduct could not only

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