A guide for financial institutions and their accountable personnel in managing the risk of misconduct among frontline and customer-facing staff.

It is a time of great change in the regulated financial services markets. The Royal Commission has left the nation’s largest financial institutions humbled and looking for ways to improve consumer outcomes. The Banking Executive Accountability Regime (BEAR) promises to make the powerful answerable to consumers. And the twin regulators, ASIC and APRA, are sharpening their regulatory instruments.

In such an environment, executives and senior managers at banks, insurance companies, mortgage brokers, superannuation providers, and other financial services institutions need to be able to manage compliance and conduct risk reliably.

This short guide looks at the operational and technological tools available to managers in regulated environments who want to put in place a comprehensive quality and monitoring framework to achieve both compliance and commercial goals.

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