Finish: Tuesday, 14 July, 2020 - 14:30
Each session will be delivered by one of our experienced SM&CR trainers and limited to 30 minutes, ensuring concise, to the point briefings.
Session 1 - Meeting the challenge of conduct training
Date: Tuesday 16th June 2020 (Recording available)
Speaker: Martin Mitchell
Given the wider implementation of the SM&CR, 2020 is likely to see more conduct training taking place across authorised firms than ever before. This workshop will look at the challenges inherent in training on the conduct rules and suggest how they are best dealt with, including in the context of non-financial misconduct.
This briefing includes:
- The challenge in context
- Potential approaches
- Example cases
- Additional resources
Session 2 - Conduct Training – Pitfalls to Avoid
Date: Thurs 2nd July
Time: 13:00 - 13:30
Speaker: Nigel Sydenham
This briefing will draw on our extensive experience of delivering Conduct Training for both senior managers and front-office staff. It will explore possible pitfalls, and how best to avoid them, including:
- Getting beyond the rules
- Pitching it right – avoiding simplistic scenarios
- Defusing controversy
- Senior management involvement – when it helps and when it doesn’t
Session 3 - Conduct and the Board
Date: Tues 14th July
Time: 14:00 - 14:30
Speaker: Peter Haines
This 30-minute briefing will cover:
- FCA’s expectations regarding conduct and culture
- How to instil a positive culture
- Examples of cultural leadership
- How the Board should conduct itself to retain a positive culture
Who is this briefing series for?
Registration for these events is complimentary for Compliance, HR & L&D professionals working for FCA-regulated firms.
To request access to these events and receive a recording of the previous event(s) click here.