If you have any job in financial services, sooner or later you’ll find yourself talking to a conduct regulator. You will! They’ve started “walking the floor” and interviewing all kinds of finance workers. With the arrival of these so-called culture assessments, conduct case officers will want to talk to you
Seven thoughts that every conduct regulator has
The regulator is on your floor – what are they thinking? Dr Roger Miles draws on his latest book to help you.