How to tackle the 'other side' of misconduct

Financial and non-financial misconduct tend to walk hand-in-hand. Rob Mason explores the regulator's recent focus on behavioural wrongdoing in the industry, its impacts on culture, along with steps firms can take to address conduct risks.

Rob Mason is director of Regulatory Intelligence at the communications surveillance firm Global Relay: www.globalrelay.com/products/voice-surveillance/.

As a former surveillance operative, I knew which way my bread was buttered with financial misconduct. Identifying tell-tale signs of market manipulation was a challenge, but one that the industry understood - we knew what it looked like, what the potential impacts were, and what we needed to do about it.