Soh, Woongan
(2019)
A CONDUCT RISK PERSPECTIVE TO INTERNAL AUDITING
AN ACTION RESEARCH INQUIRY.
Doctor of Business Administration thesis, University of Liverpool.
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Abstract
This thesis presents a qualitative action research (AR) study conducted to answer the research question: How can the internal audit (IA) approach contribute to averting recurring misconduct and enhance conduct risk management in global markets activities? This research is conducted on a Southeast Asia-based financial institution that experienced recurring misconduct despite regular IA reviews. This AR contributes to on-going debates on professional misconduct through the development and implementation of a changed IA approach and identification of essential internal auditors’ attributes to address conduct risk, avert misconduct and strengthen conduct risk management. This study establishes that a conduct risk governance focus to internal auditing can stem recurring misconduct in the organization.
| Item Type: | Thesis (Doctor of Business Administration) |
|---|---|
| Divisions: | Faculty of Humanities and Social Sciences > School of Management |
| Depositing User: | Symplectic Admin |
| Date Deposited: | 13 Aug 2020 12:43 |
| Last Modified: | 19 Jan 2023 00:13 |
| DOI: | 10.17638/03065917 |
| Supervisors: |
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| URI: | https://livrepository.liverpool.ac.uk/id/eprint/3065917 |
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