Managing Conduct Risk; Governance, Reputation and Culture

In light of a number of recent compliance, miss-selling and rogue trading scandals the financial industry has turned its attention towards the risk culture which exists in financial institutions. Globally, regulators have begun to assess how financial institutions go about their business and whether their practices are creating good outcomes for customers, and financial markets alike.
Conduct risk has been most clearly outlined by the UK Financial Conduct Authority and there is a growing awareness of the issue throughout the rest of Europe. In the US, the OCC’s “Heightened Expectations” outline a desire for improvements to firms risk governance frameworks, including better management of compliance, strategic and reputational risks. Conduct risk is closely aligned with all three of these risk areas.
Operational Risk and Regulation are hosting a two day course on conduct risk which will provide delegates with guidance on the key considerations in conduct risk management and related risk governance issues.
Day one will be delivered by experienced practitioner Peter Haines (Conduct Risk Manager, RBS) and will provide delegates with a solid understanding of the conduct risk agenda. Conduct risk will be examined within the wider regulatory landscape and guidance will be given on identifying and managing conduct risks in the business model.
The second day of the course will consist of talks from speakers from across the industry. The day will provide delegates with a range of industry views and present the opportunity for high level discussion on the industry response to the conduct risk agenda.

Peter Haines, Jltendra Rathod, Thomad Harper, Hema Parekh, Patrick Simmonet

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