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Podcast: Compliance Clarified – a podcast by Thomson Reuters Regulatory Intelligence
Episode: Season 5, Episode 3: Evolving conduct risk standards
Description: In the third episode of season 5 of the Compliance Clarified podcast, Susannah Hammond is joined by Helen Chan and Mike Cowan to consider the evolving supervisory approach to conduct risk which is a feature of a principles-based approach to financial services regulation and is seeking to ensure that firms put, and are seen to put, the customer first. Firms need to be aware that many regulators around the world are trying to stamp out a tick-box and overly legalistic approach to compliance together with the issues that come from complying with only the letter (rather than the spirit) of...