Conduct Risk (ONLINE EVENT: March 25, 2026)

Mismanagement of conduct risk can lead to financial and reputational loss for the firm.

This very practical one day session conducted by a senior City expert will equip you with a strong understanding of conduct risk and its implications for non-compliance. You will learn about regulator’s approach as well as best practices in the UK, EU and internationally.

Conduct risk is a key challenge to many financial companies. With the increased scrutiny of regulators over financial firms, companies have to understand how business conduct can impact them and what practical implications it brings for management and employees.

Mismanagement of conduct risk can lead to financial and reputational loss for the firm. This very practical one day session conducted by a senior City expert will equip you with a strong understanding of conduct risk and its implications for non-compliance. You will learn about regulator’s approach as well as best practices in the UK, EU and internationally.

What will you learn

Increased awareness of conduct risk issues and understanding of mitigation strategies
Understanding of the regulatory requirements and how the regulator could become involved in misconduct issues
Understanding which areas to look at when identifying where conduct risk impacts
Ability to clearly define what poor controls might look like and how they can be improved to mitigate conduct risk effectively
Ability to take a conduct risk strategy and deliver through a governance and oversight framework
Be equipped to proactively engage and consult with senior internal stakeholders around managing conduct risk and deployment of mitigation strategies

Main topics covered during this training

Defining Conduct Risk
Background and Fines
The Regulatory Environment
Conduct Risk Strategy, Culture and Governance
Getting Your Conduct Journey on Track

Who should attend

From Banks, Financial Companies, Asset and Fund Management and FinTech Firms:

Compliance Officers
Conduct Risk Officers
Risk Management & Audit
COOs
Operational Risk Managers
Management
Banking Analysts
FinTech / RegTech Professionals
AML Professionals
HR
Newly appointed Consultants

Course Content

Regulatory Background and Scope

UK Regulatory Objectives (FCA and PRA Approach)

EU Commission Objectives (ESMA and local regulators)
Approach to Conduct Risk
Firms and Legal Entities in Scope
Operations/Transactions in Scope
Intersection with other regulations - SMCR/SEAR, MIFID II/MAR, IFPR and IFR/IFD, FCA Consumer Duty
Systems and Controls

Conduct Risk Framework

Internal and External Risk Assessment

Governance and Controls
Culture and Behaviours - Financial and Non-Financial Conduct
Mitigation of Market, Customer, Industry Harms
Industry Scenario - Conduct Risk Framework for an Asset Manager

FCA Conduct Risk

Remuneration and Performance

SMCR and Prescribed Responsibility/ Individual Accountability
Inherent Risk - AML, PEP, Sustainability
External Risk - Market and Industry Harms and Mitigation
Consumer Duty and Treating Customers Fairly (TCF)
CASS and Conduct Risk - Conflicts of Interest, Misselling
IFPR and SMCR Material Risk Takers (MRT) and Conduct Risk
Metrics and Monitoring
Industry Scenario - FCA Conduct Investigation of a Lender/Investment Bank

EU (ESMA) Conduct Risk

MIFID II - Suitability and Appropriateness, Governance and Organisational Requirements

MAD/MAR - Market Abuse Governance and Monitoring
IFR/IFD - Risk Governance, Remuneration and Conduct Principles

Conduct Risk Monitoring and Controls - Operational Aspects

Monitoring Conduct within Global Markets and Broker/Dealers - Industry Scenario

Conduct Risk for Governing Board, Senior Managers, Material Risk Takers - Industry Scenario
Product Manufacturers and Distribution - Monitoring of Conflicts of Interest, Insider Dealing
Asset Managers, Asset Servicing, and Custody - Identifying and Monitoring Conduct Risk - Industry Scenario
Conduct Risk Policy and Procedures for various BNYM operations
Regulatory Horizon Scanning and Next Steps

Speakers

The trainer is an industry advisor and regulatory expert with over 20 years of experience in investment banking, asset management and Regulatory Technology (RegTech). He is an industry expert in Financial Regulation, RegTech, Open Banking, Digital Payments and Payments Systems and cover all the key banking and finance regulations across US, EMEA and APAC including MIFID II, EMIR, CASS, SFTR, IFR/IFD, Dodd Frank, FINMA (SIX), HKMA MAS and SFC, IBOR Transitions, SMCR, and ESG Regulations such as SFDR.

His recent key engagements include banks such as HSBC, Deutsche Bank, JP Morgan and Barclays and buy side firms such as T. Rowe Price, Ruffer, M&G and Investec Asset Management. He is also a member and advisor of Industry association committees for regulatory consultations with bodies such as ESMA, FCA, PRA/Bank of England and SEC.