09 Oct 2019, London
9:30am to 4:30pm
Business conduct is in a bright and unforgiving spotlight. Although much has been said about Conduct Risk from the regulatory perspective, less has been done to help firms address the issue coherently. In the absence of anything prescriptive from the FCA, firms need to define what conduct risk means for their business and determine how to take positive action to address this risk. While the primary driver for seeking the effective management of conduct risk is to secure commercial success, there are additional pressures stemming from the ever higher standards being demanded by regulators, both nationally and internationally.
This workshop will address the issues firms need to take into account in order to manage and mitigate conduct risk. It will highlight the key themes in current thinking and provide practical pointers to help delegates ensure their firms’ approaches and arrangements are as effective as possible.
Specifically, attending will help you:
This workshop is aimed at directors and other senior staff involved in establishing and embedding their firm’s culture and in managing the business compliantly. It will also be relevant to Risk and Compliance specialists, along with those responsible for board level oversight of the control functions. This event is equally appropraite for staff for firms which are either solo regulated (FCA) or dual regulated (PRA and FCA).
Charles Cattell is a consultant and training practitioner with extensive expertise across the financial services sector. He advises, trains and develops a broad range of financial services clients and their senior managers about the human aspects of regulation with a particular focus on managing people risk, the development of competence and expertise and the enhancement of corporate culture. His clients include banks, product providers, intermediary firms, and insurers with whom he works at a senior level on learning, leadership, regulatory and corporate governance issues. Charles also works extensively with trade associations, examining bodies and regulators, whom he has advised on competence and professionalism issues. He is a Chartered Fellow of the Chartered Institute of Personnel and Development, a Chartered Member of the Chartered Institute for Securities & Investment and a Chartered Insurance Practitioner and an Associate of the Chartered Insurance Institute.
|Introducing “conduct risk”||
|The regulatory framework and approach to conduct risk||
|INHERENT CONDUCT RISKS|
|Business models and governance of conduct risk||
|Conduct risk, fairness and “Treating Customers Fairly”||
|Tangible elements of conduct risk: product design, distribution and organisational infrastructure||
|INDIVIDUAL RESPONSIBILITY FOR MANAGING CONDUCT|
|Conduct risk and individual accountability||
|SUPPORT TO IMPROVE BUSINESS CONDUCT
|Practical aspects of managing and monitoring conduct risk||
|OVERSIGHT OF BUSINESS CONDUCT AND THE CONDUCT IMPLICATIONS OF STRATEGIC DECISIONS|
|Behavioural aspects of conduct risk: leadership, conflicts of interest, people risk and organisational culture||
|ACTIVITIES THAT COULD UNDERMINE CONDUCT IMPROVEMENT STRATEGIES||
This course can be delivered in-house at a time and location to suit your business and tailored to suit your people and organisation. We can also create bespoke training when something very specific is needed.Please contact us to discuss your requirements in more detail and at no obligation.