Dublin, Feb. 10, 2026 (GLOBE NEWSWIRE) -- The "Conduct Risk (February 15, 2026)" training has been added to ResearchAndMarkets.com's offering.
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
Key Topics Covered:
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.
For more information about this training visit https://www.researchandmarkets.com/r/cdfujj
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