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Kathleen A. Scott

Misconduct in the financial services sector can lead to fines and sanctions for a financial institution and a drop in the value of shares for its stockholders. On April 20, 2018, the Financial Stability Board (FSB), an organization of international financial regulators that monitors and makes recommendations about the global financial system, issued a set of options it is calling a “toolkit” to assist regulators in determining how best to address conduct issues in their respective jurisdictions. Financial Stability Board, “Strengthening Governance Frameworks to Mitigate Misconduct Risk: A Toolkit for Firms and Supervisors,” April 20, 2018. The document offers a wealth of information and sources on developing a workable corporate governance framework to address the causes of misconduct and how best to mitigate them.

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