Asset 1
The FCA’s 5 Conduct Questions

Julia Hoggett, Director of the Market Oversight Division at the UK’s Financial Conduct Authority, has two primary supervision goals: to mitigate conduct risk in the wholesale banking sector, and to improve the capacity of the sector to mitigate conduct risk itself.

In support of these goals, the FCA has published 5 Conduct Questions that provide supervisors in banks with a consistent framework that they can use to discuss progress in the development of Conduct Risk Frameworks, stimulate debate and action within banks and across the industry, and provide a mechanism for feedback to the industry.

Noting that the 5 Conduct Questions may well have a broader relevance beyond wholesale banking, Julia delivered a presentation about the questions and how supervisors can address them at the 1LoD Summit, held at The Dorchester Hotel in November 2017.

With the kind permission of our friends at 1LoD, we are pleased to direct you to Julia’s presentation slides hosted on the 1LoD website. Please click here to find the relevant page.


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1LoD

1LoD provides intelligence for risk and control professionals across the three lines of defence in financial institutions globally. It delivers this information via conferences, training and digital media. For more information visit www.1lod.com