Our Conduct of Business work takes many forms, be it compliance monitoring reviews, past business reviews, advisory/consultancy engagements to identify and assess conduct risks, design and implement conduct frameworks, or as part of wider change initiatives or internal audit reviews conducted on a co-sourced or out-sourced basis. In each instance, the work requires a sound and thorough understanding of relevant requirements such as contained within the Business Standards (COBS, ICOBS, MCOBS etc), Redress (DISP) and Specialist Sourcebooks (CONC) sections of the FCA handbook and also of regulatory expectations.
Protiviti’s Risk and Compliance teams consist of individuals with significant amounts of conduct experience, gained through combining an understanding of FCA principles and rules with practical and commercial application in regulated firms, Many of our team have also spent time on secondment at different UK regulators (both in policy and supervision departments).
We have experience of working with clients of all different sizes, scale and complexity throughout the financial services industry including:
We have been appointed to the Skilled Person Panel for Conduct of Business.
What we have undertaken