What is Conduct Regulation?

What is Conduct Regulation?

Roger answers some of the key introductory questions surrounding conduct regulation: What is it? Why do you need to know about it? What can you do now?
Overview

Conduct regulation is a practice meant to hold banks and financial institutions responsible for their actions. In other words, it represents a set of rules that tell financial firms what is expected and the acceptable behaviour.

Key learning objectives:

  • Define conduct regulation

  • Understand why conduct regulation began

  • Know why we need to know about conduct regulation

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Summary
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