Conduct Counts

Seminar Overview


Unprecedented fines and enforcement action have and continue to be imposed across financial services and now it’s starting to get personal. What does conduct mean to you and to your organisation and how do you get it right?

In this workshop, via the use of case studies, we will focus on what good conduct means, the practical steps that should be taken to best serve your clients and protect your firm and the individual implications for you as employees

The workshop is structured into three sections:
Misconduct in financial services
Conduct count case studies
Group exercise; what we can learn from the past

The objective is to define what is conduct risk, what does it really mean and why does it matter

This workshop considers the challenges of defining and managing conduct risk and how to meet the regulatory expectations


The following topics will be covered:

The timeline of misconduct
Conduct headlines
Fines, penalties & enforcement 
Rogue trading
Risk management framework
Governance, risk & compliance
Conduct counts case studies
Fitness & Propriety
Market conduct
Conflicts of interest
Regulatory change
Conduct risk definition
Regulatory references
Lessons learned



Who should attend?


Compliance professionals who want to further their understanding of the conduct landscape and ensure they are positioned to detect and avoid future conduct issues.

Those involved with the conduct agenda for their organisation including Compliance, HR and Risk professionals.

Anyone working with The Board or Senior Leaders to define and deliver on their culture and conduct agenda.




A CPD certificate will be provided to all attendees, which may be considered appropriate by your company for the accrual of CPD hours. 


To Reserve a Place 

Email This email address is being protected from spambots. You need JavaScript enabled to view it., call +44 (0)20 7422 0063 or book online. You will receive confirmation of your booking within 24 hours. Price inclusive of all course material. Price exclusive of VAT.

Training and Venue Information

CPD Authorised Yes
Event Date 09-04-2020
Event End Date 09-04-2020
Event Time 9:00 - 11:00
Price £99.00
£99.00 1000