Risk & Conduct
Building risk and conduct frameworks that support sound decision-making, effective oversight and fair treatment across products, third parties and distribution channels.
Services We Provide
Our Risk & Conduct practice is organized around two core capabilities, each addressing a distinct part of how risk and fair treatment are managed across the business.
Risk Assessments, Third Parties & New Products
Structured risk assessment frameworks for new products, services and third party relationships, giving your business a consistent and defensible basis for identifying and managing risk before it materializes.
Insurance Conduct, Fair Treatment & Distribution
Conduct risk frameworks and fair treatment standards for insurers and distributors, addressing how products are designed, sold and serviced across every stage of the distribution chain.
Why Risk & Conduct Matter
Risk and conduct failures rarely originate from a single decision. They accumulate through gaps in how new products are assessed, how third parties are overseen, and how customers are treated across the distribution chain. For regulated financial institutions and insurers, expectations increasingly emphasize proactive identification, oversight and management of these risks.
The areas that most often require attention:
Inconsistent or outdated risk assessment practices for new products and services
Limited visibility into third party and outsourcing arrangements
Conduct risk embedded in sales practices, incentive structures and distribution channels
Fair treatment obligations that are difficult to evidence consistently across business lines
Complex insurance distribution arrangements involving multiple intermediaries, delegated functions and oversight responsibilities
Risk frameworks that have not kept pace with business growth or new markets
Supportix Global works with institutions to bring structure to these areas, so that risk and conduct are managed as an integrated discipline rather than a collection of separate obligations.
An End to End Risk and Conduct Lifecycle
Risk and conduct management is not a single assessment or a single policy. It operates as a continuous discipline, moving through stages that repeat as products, partners and markets evolve.
- 01Assess
- 02Design
- 03Approve
- 04Onboard
- 05Monitor
- 06Review
- 07Escalate
- 08Remediate
- 09Improve
Supportix Global can engage at any point in this lifecycle, whether the need is a focused risk assessment for a single new product, oversight of a third party onboarding process, or a broader review of conduct risk across distribution channels. This allows institutions to bring in the right level of support for where they are today, without being locked into a single fixed engagement model.
Who We Support
Our Risk & Conduct capability is built for organizations managing risk across products, partners and distribution, including:
Insurance & Distribution
Financial Institutions
Fintechs & Market Entrants
Third-Party & Outsourcing
Regulated Financial Services
Regulatory Expertise. Operational Understanding. Practical Implementation.
We work at the intersection of what regulators expect and what risk and conduct functions can realistically operate day to day.
Risk-Based Design
Frameworks calibrated to actual product and partner risk, not generic templates applied without regard to your business.
Cross-Jurisdictional Perspective
Experience across federal and provincial frameworks, and the conduct standards that intersect with them.
Regulatory and Operational Expertise
Guidance grounded in both what examiners look for and what functions well in daily operation.
Program Design Through Ongoing Support
Engagement that extends from initial design through implementation, monitoring and continuous improvement, rather than ending at delivery of a framework document.
Build a Risk and Conduct Framework Around Your Business
Whether you are assessing a new product, strengthening third party oversight or reviewing fair treatment practices across your distribution channels, Supportix Global can help assess your requirements and determine the appropriate path forward.
Discuss Your RequirementsExplore More Ways We Can Help
Financial Crime & Sanctions
AML transaction monitoring, RPAA compliance and sanctions screening programs.
Learn MoreGovernance & Assurance
Compliance governance, effectiveness testing and regulatory examination support.
Learn MoreInvestigations & Capability
Fraud investigations, complaint handling, managed compliance and training.
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