Conduct Risk

AMG operate a robust governance framework with comprehensive controls and policies in place to achieve our business objectives by supporting delivery of fair customer outcomes, meeting regulatory requirements and delivering the expectations of our clients.

Conduct Risk

Whilst AMG are not directly regulated by the FCA, the clients that we act for are. We need to demonstrate appropriate controls within our own business to ensure the customer is at the heart of everything we do, and that we meet the values and visions of our clients’ commitment to placing their customers first.

Our Conduct Risk Framework is the means by which conduct risks are managed and embedded within our day to day business activities. A core value is that we will promote a culture that delivers good behaviours and fair outcomes for customers.

Together with robust risk management, engaging with our 3rd party suppliers and working together with our clients, we will ensure our clients meet their objectives, values and visions as part of the customer journey.

Our dedicated Conduct Risk Manager has responsibility for the delivery of our governance framework in a number of areas, including:

  • Operational Efficiency
  • Identifying Risks
  • Complaints management, trends and root cause analysis
  • Continuous improvement & training
  • Management and control of 3rd party suppliers
  • Adapting the 3 lines of defence
  • Management information, dashboards and exception reporting