ICA Essentials Conduct Risk

Description

Designed for those who have a limited knowledge of the conduct risk but want to understand the fundamentals.

• 3-hour tutor-led workshop
• Understand good conduct and what it looks like for your firm and customers
• Explore conduct risk in the context of governance, risk and compliance (GRC) frameworks
• Understand how good conduct can contribute to good customer and market outcomes
• Conduct in practice – including UK Senior Managers and Certification Regime, GDPR, handling complaints and vulnerable customers

What you will learn

• Development of the conduct agenda
• Core components of conduct risk
• What does good conduct look like for a firm?
• Know your responsibilities and accountabilities
• What does good conduct look like for customers?
• Meeting the customer's objectives – the outcomes-based approach
• The importance of good market conduct
• The impact of poor conduct
• Understanding a conduct framework in practice – the Senior Managers & Certification Regime (UK)