Key Details

Duration: 2 Hours

Delivery method: In-house

Overview

The issue of ‘Conduct Risk’ is high on the FCA’s supervisory agenda. However, whilst the term is widely used, many firms are unsure what it means in practical terms, and what the regulator is expecting of firms. This two hour overview will provide participants with an understanding of what is...

The issue of ‘Conduct Risk’ is high on the FCA’s supervisory agenda. However, whilst the term is widely used, many firms are unsure what it means in practical terms, and what the regulator is expecting of firms.

This two hour overview will provide participants with an understanding of what is meant by ‘Conduct Risk’, and an outline process for developing a Conduct Risk framework within a firm. It will also identify key conduct-related questions which every firm should be able to answer.

Who is this for?

This briefing is designed for people who are responsible for ensuring their firm meets its regulatory obligations, as well as those who have specific responsibility for developing and implementing the Conduct Risk framework.

This could include:

  • Senior Managers
  • Compliance Officers
  • Risk Managers
  • Background to the FCA’s Conduct Risk agenda
  • A working definition of Conduct Risk
  • Examples of conduct failures
  • Developing a Conduct Risk framework
  • Key questions to answer

After attending this briefing, participants will;

  • Understand the FCA’s approach to supervision of firm’s conduct
  • Understand the term ‘Conduct Risk’ and how it applies to firms
  • Consider the process for developing a Conduct Risk framework
  • Determine the next steps required