• 40. Horizon Unpacked August 2024 edition: Inter-Dealer Broking, Culture and Conduct Risk

  • Sep 12 2024
  • Length: 47 mins
  • Podcast

40. Horizon Unpacked August 2024 edition: Inter-Dealer Broking, Culture and Conduct Risk

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  • Summary

  • Horizon is SKADI's forward-looking monthly publication for Audit, Compliance and Investigation professionals working in the financial industry.


    In this month’s Horizon Unpacked, Nic and Damian are discussing one of the highest risk interfaces in the Financial Markets. Inter-Dealer Broking. The unique combination of contrasting compensation, opacity, anonymity, dealing by etiquette increase conduct and culture risk. But how has this market grown up? How does it function? What are the risks? And what are controls that could be strengthened?


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    #conduct #culture #speakup #investigations #finance #idb #legal #disputes #idb #trader #abc
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