Pragma | Conduct Risk

When businesses to put profits over people, the resulting actions may not only result in financial loss but may also erode consumer confidence and trust.

To minimise this, some industries must comply with requirements mandated by relevant authorities to ensure transparency, social responsibility, and fair dealing. This requires affected organisations to assess the Conduct Risk posed by their business activities – demonstrating that its strategies, policies, systems, and processes are free from opacity, market abuse, and misconduct.

Organisations should engage Pragma to assess whether their current Conduct Risk program meet relevant regulatory requirements.

We offer the following Conduct Risk services:

Reviewing/attesting current Conduct Risk capabilities

We will review your organisation’s departments and processes to identify gaps in the current Conduct Risk programme.

Reviewing/drafting Conduct Risk policies

We will review existing Conduct Risk policies to ensure they are compliant with relevant regulatory requirements. We can also work with you to draft comprehensive policies.

Reviewing/drafting Conduct Risk procedures

We will review existing Conduct Risk procedures to ensure they are compliant with relevant regulatory requirements. We can also work with you to draft comprehensive procedures.

Reviewing, undertaking, or drafting enterprise-wide risk assessments (EWRAs)

We will review existing EWRAs to ensure they are compliant with relevant regulatory requirements. We can also work with you to draft appropriate documents.

We also provide ad hoc regulatory and compliance advice based on your specific Conduct Risk needs.

Why Choose Pragma?

At Pragma, we are committed to helping organisations understand their regulatory requirements and work towards compliance.

Our Compliance, Conduct, and Regulatory Risk team consists of individuals who specialise in following regulatory trends, interpreting legislation, and tailoring compliance programmes to various industries.