Oct 30, 2019
Conduct issues have driven some of the most significant enforcement actions — including those affecting the reputation of the industry — both in the United States and around the world. As regulators and bankers take a close look at conduct risk, the latest episode of the ABA Banking Journal Podcast — sponsored by Money Concepts International — welcomes Tanya Weisleder, global head of conduct risk at Credit Suisse, to discuss:
- The ways that employee misconduct can negatively affect not just the firm but also clients, employees and financial markets.
- How conduct risk intersects with operational risk management, regulatory compliance and human resources.
- How a firm with global reach sets a shared worldwide definition for conduct risk and the lenses Credit Suisse uses to evaluate conduct risk.
- Methods for monitoring and measuring conduct risk, including materiality, intentionality and seniority.