Finance, Risk and Compliance

Conduct and Compliance

Over recent years there has been a marked increase in the level of global regulatory scrutiny on our clients’ conduct in respect of the levels of protection provided to customers and maintaining market stability and security.
Baringa has been working with our clients to define ‘good conduct’ and embed the principles of conduct risk management and compliance throughout our client organisations from setting the tone at the top right through to creating and developing a culture of responsibility and accountability.
We have worked with numerous clients to address some of their legacy issues in failing to adhere to regulatory obligations, whilst renewing consumer trust through providing customers with the services they really need in a manner that protects their interests.
Many of our dedicated conduct and compliance consultants also have direct experience of working for regulators and / or industry expertise, bringing together:

  • Deep entrenched knowledge and understanding of leading market practice
  • Supporting our customers to become more customer-centric
  • Integrating compliance activity within operations by default and design
  • Identifying possibilities for gaining competitive advantage.


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