EPISODE · Sep 12, 2024 · 46 MIN
40. Horizon Unpacked August 2024 edition: Inter-Dealer Broking, Culture and Conduct Risk
from The SKADI Podcast · host SKADI
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? Join our Discord community, where you can read all the materials we use to create The Skadi Podcast. Click the link below to be part of the Tribe! https://discord.gg/kSHqUafYkH Hindsight is a wonderful thing, but foresight is better. See what's coming over the Horizon with SKADI, your 4th line of defence. More about SKADI: Website: https://skadilimited.com/ X (Twitter): https://twitter.com/skadilimited Instagram: https://www.instagram.com/skadilimited/ Linked In: https://www.linkedin.com/company/skadi-limited/?trk=top_nav_home #conduct #culture #speakup #investigations #finance #idb #legal #disputes #idb #trader #abc
What this episode covers
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? Join our Discord community, where you can read all the materials we use to create The Skadi Podcast. Click the link below to be part of the Tribe! https://discord.gg/kSHqUafYkH Hindsight is a wonderful thing, but foresight is better. See what's coming over the Horizon with SKADI, your 4th line of defence. More about SKADI: Website: https://skadilimited.com/ X (Twitter): https://twitter.com/skadilimited Instagram: https://www.instagram.com/skadilimited/ Linked In: https://www.linkedin.com/company/skadi-limited/?trk=top_nav_home #conduct #culture #speakup #investigations #finance #idb #legal #disputes #idb #trader #abc
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40. Horizon Unpacked August 2024 edition: Inter-Dealer Broking, Culture and Conduct Risk
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