From Policies to Proof: Auditing Ethics & Culture in Regulated Financial Institutions

Archived Webinar | June 30, 2026

In regulated financial institutions, formal codes of conduct, policies, and compliance frameworks are essential—but they are not enough on their own. The true test lies in whether ethical values are genuinely embedded in decision-making, leadership behavior, internal controls, and organizational culture. This webinar explores how internal audit, compliance, and governance professionals can move beyond reviewing policy documents to assessing whether ethics and culture are truly operationalized in practice.

Participants will examine practical approaches to auditing ethical culture, identifying red flags, evaluating tone at the top and tone in the middle, and testing whether institutional behaviors align with stated values and regulatory expectations. The session will also highlight how auditors can provide meaningful assurance over culture in a way that is credible, evidence-based, and relevant to boards and senior management.

This webinar serves as a preview of the conversations and insights that will be explored at the 2026 Financial Services Exchange Conference in New York City. Join us at the conference from August 31 - September 1, 2026 to connect with audit, risk, and compliance leaders for a two-day experience focused on innovation, collaboration, and the future of financial services.

• Archived Webinar
• Global Regions
• English