Conduct risk management: Our supervision of market intermediaries

This letter summarises our supervisory work to date of market intermediaries conduct risk management, and highlights our observations of better and poorer practices.

Like all non-financial risks, conduct risk should be actively identified and monitored by senior management. Boards also need to exercise active stewardship in their oversight of conduct risk.

Where oversight and management of conduct risk is not well managed, it can lead to significant reputational and financial consequences for the intermediary.

Report suspicious activity

If you are a market participant and you see or suspect market misconduct you must notify ASIC

Lodge a suspicious activity report

Subscribe for updates

For the latest regulatory developments and issues affecting market intermediaries subscribe to our monthly Market Integrity Update.

What's new

More financial markets releases

Last updated: 30/03/2021 09:23