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Ep. 145: Supervisory Intervention by Retail Conduct Supervisors
Manage episode 414367704 series 2661137
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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 Centre
Host:
Chuin Hwei Ng, Senior Program Director, Toronto Centre
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