Introducing our practical guidance on managing conduct risk

7 April 2022

With the regulatory landscape evolving, we’ve introduced some practical guidance for brokers to help you manage the various aspects of conduct risk.

In it, we address some key questions:

  • What is poor conduct?
  • Why is good conduct important?
  • What are the foundations of good conduct?
  • Why is good conduct also good business?

We’ve also provided bite-size, practical, information to help you with the key considerations at each stage of the customer journey lifecycle:

  1. Financial promotions and literature
  2. Sales
  3. Demands & needs
  4. After sales experience
  5. Complaints
  6. Renewals

We hope you find this guidance useful and will provide more support over the coming months.

Any questions

If you've any questions, please email