Conduct & Regulatory Issues

Conduct & Regulatory Issues

In highly regulated environments, where the wrong behaviours can result in regulatory or legal censure for businesses and individuals, a culture that promotes good conduct, complaince and risk management is essential.

Your challenge

To ensure conduct and compliance go beyond processes and becomes ingrained in your company culture, so that it is owned by every individual, minimising the potential for poor conduct and regulatory violations.

Our solution

Whether you’re getting ahead of the problem or currently facing intervention, we’ll help embed compliant behaviours into your company culture, so everyone supports regulatory requirements.
Conduct and regulatory issues

How we make it happen

From full culture change programmes to targeted leadership development, employee experience and conduct culture programmes designed to support compliant cultures, we’ve been providing bespoke culture consultancy programmes for over 15 years.

Navigating Conduct and Regulatory Challenges with Confidence

In today’s regulatory environment, culture is under more scrutiny than ever. From the FCA to global regulators, it’s clear: a healthy, well-embedded culture is not just a “nice to have” – it’s a business imperative and a regulatory expectation. Failures of conduct or compliance almost always have deep cultural roots. That’s why we support the most forward-thinking organisations to focus on culture as their first line of defence.

Our Expertise

At Culture Consultancy, we specialise in helping organisations create cultures that not only meet regulatory requirements but also drive sustainable business performance. Our award-winning team of industry practitioners, business leaders, HR experts and organisational psychologists brings deep expertise in:

  • Diagnosing the real drivers of conduct and compliance risk
  • Translating regulatory expectations into practical, everyday behaviours and practices
  • Designing and embedding cultures that support business goals, innovation and regulatory obligations

 

Our Approach

Deep-Dive Culture Assessment™

We start by thoroughly assessing your current culture, using a blend of data analysis, interviews, focus groups, and pulse surveys. We look for both strengths and vulnerabilities – pinpointing where regulatory risk could emerge, and where culture is already supporting good conduct.

Tailored Culture Design

We work with you to design a culture blueprint that’s fit for purpose – aligning purpose, vision, values, behaviours, and working practices with your regulatory and business objectives. Whether you’re responding to new regulation, preparing for an inspection, or seeking to move from compliance to high performance, we create a roadmap that’s practical and actionable.

Embedding Change with the 6Es Human Change Principles™

Culture change only works when it’s fully embedded. Our 6Es Human Change Principles™ – Educate, Engage, Empower, Enable, Evaluate, and Evolve – ensure that new ways of working become business as usual. We combine behavioural science, effective communication, organisational design, and talent management to create lasting, compliant change.

Measurement and Continuous Improvement

We help you build a culture dashboard that links conduct and culture metrics to business outcomes – so you can track progress, demonstrate compliance, and respond quickly to emerging risks.

Why It Matters

Regulatory Alignment: We help you meet and exceed expectations from the FCA and other regulators, reducing the risk of fines, enforcement, and reputational damage.

How we support Financial Services firms through s166 Requirements: A Culture First Approach

When the FCA issues a Section 166 notice requiring a Skilled Person Review, it signals serious regulatory concerns about conduct, culture, or governance. For financial services firms, this represents both a significant challenge and an opportunity to transform underlying cultural issues.

At Culture Consultancy, we’ve helped numerous firms navigate regulatory challenges by addressing the root causes rather than just the symptoms. Our award-winning approach combines deep regulatory knowledge with practical culture transformation expertise.

How we support firms facing S166 requirements:

Cultural Root Cause Analysis

We go beyond surface compliance issues to uncover the cultural drivers behind conduct breaches. Our Culture Assessment™ methodology helps identify gaps between stated values and actual behaviours, exposing risk areas that traditional compliance reviews might miss.

Regulatory-Aligned Culture Design

Drawing from our work with various FS firms, we design cultures that satisfy regulatory expectations while driving business performance. We translate regulatory requirements into practical, everyday behaviours that everyone understands.

Leadership Alignment and Accountability

S166 notices often highlight leadership shortcomings. Our leadership development programs ensure your senior team understands their role in modelling and embedding the right behaviours – critical for demonstrating credible change to regulators.

Measurable Culture Dashboard

Regulators expect evidence of progress. Our culture dashboard links conduct and culture metrics to business outcomes, providing the quantifiable evidence needed to demonstrate meaningful improvement to the FCA.

Sustainable Culture Embedding

Using our 6Es Human Change Principles™, we ensure cultural changes become embedded rather than forgotten – preventing future regulatory issues whilst building a foundation for continued growth.

Whether you’re currently facing regulatory challenges or want to future-proof against them, we can help you build a culture that not only satisfies regulators but becomes your competitive advantage.

 

How to get started

We help businesses of all shapes and sizes overcome their cultural challenges. To find out more, click the button below and we’ll be in touch.

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