10.00 Getting up to speed with the FCA’s current approach to Conduct Risk
• FCA – Strategic & Operational approach
• FCA Conduct Risk Outlook
• The year ahead – Themes & Events
• Historically identified Conduct Risks, crystallisation and regulatory action
10.45 Conduct Risk under the microscope
• What is Conduct Risk?
• Why is the FCA so focused on it?
• What do they see as the key conduct risks for the financial services market place in 2017/18?
• What are the key risks for your sector?
SYNDICATE EXERCISE 1
11.45 Tea/Coffee Break
12.00 Conduct Risk – The component parts
• What areas of your business are touched by Conduct Risk?
• Different risks, different business areas?
• Different risks, different approach?
• Different business models, different framework?
• The behavioural impacts of Conduct Risk
SYNDICATE EXERCISE 2
13.45 The individual and collective responsibility for Conduct Risk management
• As an individual, what responsibilities do I have?
• How am I impacted if I am a Controlled Function Holder?
• What further impact will there be on the individual when the new Senior Management Regime and Certification Regimes are introduced to the investment sector?
14.30 Culture and the impact on Conduct Risk
• What is culture?
• How does it become defined within a business?
• What impact does leadership actions have on culture?
• How do we know when we have our culture is negatively impacting our business?
CASE STUDY 1
15.15 Conduct Risk & MI
• What MI should I have?
• What MI must I have?
• How and to whom should this be presented?
CASE STUDY 2
15.45 Course Summary & Close