Issues relating to employees are among the top matter on the agenda in boardrooms and among senior management of business organizations. A proactive approach to identifying and addressing conduct issues is a vital management tool for the prevention of staff misconduct. 

 

Forming part of the overall governance framework, implementation of a conduct management framework can provide a systematic approach to help organizations address conduct matters and demonstrate a strong commitment to delivering good quality services to their customers. We provide solutions to business organizations to design and establish a conduct management framework that covers product due diligence, sales practices and suitability, and complaint-handling procedures.

 

Our approach to providing conduct advisory includes the following stages:

 

1. Enterprise-wide Conduct Management Framework:​
   Our advisory team designs and implements enterprise-wide conduct frameworks to support the business processes in managing conduct issues.
    

2. Product Due Diligence :
   We advise the due diligence process for new products and services within the product governance frameworks to take conduct management into the product lifecycle, in particular during the process of design and distribution obligations.
    

3. Sales Practices and Suitability:
   Sales practices and suitability frameworks ensure the delivery of fair and suitable outcomes for customers. In the case of regulatory requirements of identifying vulnerable customers, it is ensured that vulnerable customers are clearly defined and identified during the sales process and review readiness and compliance with the relevant industry codes of conduct and regulatory obligations from time to time.
    

4. Complaints Handling Procedures:
   We formulate complaints handling policies and procedures and implement operational effectiveness of complaints handling in organizations to ensure that all complaints are properly addressed. Management oversight should identify the root causes of the complaints and formulate action plans for improvements to business processes and the products and services provided to customers.

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Our solutions for managing conduct issues balance with the organisation’s strategic goals, and business values. We adopt the above methodology as the building blocks of supporting clients to design and implement effective conduct management frameworks