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Ep. 145: Supervisory Intervention by Retail Conduct Supervisors

Ep. 145: Supervisory Intervention by Retail Conduct Supervisors

FromToronto Centre Podcasts


Ep. 145: Supervisory Intervention by Retail Conduct Supervisors

FromToronto Centre Podcasts

ratings:
Length:
26 minutes
Released:
Apr 24, 2024
Format:
Podcast episode

Description

The nature of retail conduct supervision, which can often be more prescriptive and rules based, can result in different approaches to intervention.This TC Note and accompanying podcast discusses how supervisors should take a more proactive risk-based approach to dealing with potential areas of misconduct and apply the key principles of risk-based supervision to facilitate an earlier identification and remediation of issues.Speaker: Karen Badgerow, Program Leader, Toronto CentreHost: Chuin Hwei Ng, Senior Program Director, Toronto CentreRead the transcript here. Read their biographies here.https://www.torontocentre.org/
Released:
Apr 24, 2024
Format:
Podcast episode

Titles in the series (100)

Providing high quality capacity building programs for financial supervisors and regulators to build more stable and inclusive financial systems. Toronto Centre is an independent not-for-profit organization that promotes financial stability and access to financial services globally, particularly in emerging markets and developing countries. www.torontocentre.org What financial supervisors and regulators do every day has a ripple effect that cascades across government, NGOs, and the private sector impacting developing economies and those living in them. Toronto Centre’s podcast series will feature simulating panel sessions and interviews on timely topics such as, financial crisis, financial stability, climate change, gender equality, financial inclusion, fintech and much more.