In-Person Training

Conduct Risk Management Course

£599.00

When: Tuesday 26th November 2024

Duration: One Day (9:00am – 5:00pm)

Location: 1 Cornhill, London EC3V 3ND

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Course Overview

The term “conduct risk” has led many organisations to restructure their regulatory compliance processes and embark on a major initiative to ensure regulatory risk management is fine-tuned.

The FCA’s Consumer Duty is the latest challenge in this regard.

This webinar seeks to examine the nature of conduct risk in financial services, explain both what it is and how an organisation should take a structured and measured approach to it.

Additional information

Date

Tuesday 26th November 2024

Learning Objectives

Delegates attending the course will leave with an understanding of:-

  • The meaning of “conduct risk” in financial services;
  • How regulators are seeking to measure customer and market outcomes;
  • The conduct of business rules applied to this arena;
  • The Implications of the FCA’s “Consumer Duty”
  • Major thematic initiatives in this space;
  • The practical steps a compliance function needs to take;
  • The essential dimension of the conduct risk management framework.

Instructor

Sandro Boeri

With over 40 years of extensive experience in the global financial services industry, Sandro’s deep-seated passion for understanding the human condition drives him to foster cultural evolution and enhance human well-being through business leadership.

Throughout his career, he has been captivated by the intricate dynamics of human interaction within organizations. As a seasoned corporate governance expert, he specializes in crafting and transforming organizational culture, serving as a trusted advisor to boards and executive teams, and advocating for positive workplace environments rooted in empathy and understanding.

Sandro has led internal audit functions, operated his own successful businesses, and served as a Non-Executive Director (NED), contributing to the strategic direction of various organizations. His commitment to fostering meaningful change extends to consulting on internal audit strategies, promoting holistic well-being practices, and driving positive societal impact.

As an entrepreneur, he has co-founded and managed businesses, fueled by his belief in the transformative power of human connection and empathy. Sandro firmly believes that businesses have the potential to not only drive economic prosperity but also to enrich the human experience and promote societal well-being.

With a profound understanding of corporate governance principles, a wealth of experience in navigating complex regulatory environments, and an unwavering focus on diversity, equity, inclusion, and social conscience, Sandro is dedicated to making a lasting impact.

Who Will Benefit?

Compliance officers, operational risk managers and internal auditors seeking to understand how to practically manage conduct risk or review the related controls.

Agenda

 

  • The definition of “conduct risk” in financial services
  • Regulators’ perspectives on threats to conduct in this arena
  • The control implications of the Consumer Duty
  • Relevant Conduct of Business Rule implications
  • Other rulebook areas of focus
  • Key conduct developments in relation to
    • Market abuse
    • Remuneration
    • Dealing with counterparties
    • Structured products
    • Execution of trades
    • Conflict of interest management
    • Corporate finance
    • The mortgage market
    • The retail savings market
  • The role of compliance in managing conduct risk
  • Tips for reviewing the control framework.

Venue

1 Cornhill, London EC3V 3ND

Certification

Whilst this training course is not linked to a formal qualification, it will contribute to a delegate’s ongoing personal and professional development.

A digital or paper certificate of completion is available upon request.

Bespoke Packages

We can work with you to create a customised training course around this subject matter that creates an optimal learning experience for your team. Our bespoke training programmes are designed around your organisation’s specific needs and allow you to meet the exact requirements of your business. Please Contact Us for further information.

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