Conduct Risk

Conduct risk is emerging as a key challenge to many financial companies. With the increased scrutiny of regulators over financial firms, companies have to understand how business conduct can impact them and what practical implications it brings for management and employees.

Mismanagement of conduct risk can lead to financial and reputational loss for the firm.

This very practical one day session conducted by a former senior City expert will equip you with a strong understanding of conduct risk and its implications for non-compliance.

Main Topics Covered During This Training:

• Defining Conduct Risk
• Background and Fines
• The Regulatory Environment
• Conduct Risk Strategy, Culture and Governance
• Getting Your Conduct Journey on Track

What Will You Learn:

By the end of this course you will develop:

• Increased awareness of conduct risk issues and understanding of mitigation strategies
• Understanding of the regulatory requirements and how the regulator could become involved in misconduct issues
• Understanding which areas to look at when identifying where conduct risk impacts
• Ability to clearly define what poor controls might look like and how they can be improved to mitigate conduct risk effectively
• Ability to take a conduct risk strategy and deliver through a governance and oversight framework
• Be equipped to proactively engage and consult with senior internal stakeholders around managing conduct risk and deployment of mitigation strategies