Conduct Counts Workshop

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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?

  • The timeline of misconduct
  • Conduct headlines
  • Fines, penalties & enforcement
  • Sub-prime
  • Lehman Brothers
  • Société Générale
  • Rogue trading
  • Mis-selling
  • Risk management framework
  • Identifying risk
  • Assessing risk  
  • Controlling the risk
  • Governance, risk & compliance
  • Conduct counts case studies
  • Fitness & Propriety
  • Market conduct
  • Integrity
  • Conflicts of interest
  • Regulatory change
  • Conduct risk definition
  • Regulatory references
  • Lesson learned 

Delivery options

  • Classroom session (3 hours)
  • Virtual classroom (3-hour webinar)
  • eLearning (design upon request)
  • In-house

Option 1: classroom

You attend alongside other market participants: £495

Option 2: virtual classroom

You attend alongside other market participants via an interactive online classroom: £395

Option 3: In-house

This course can be tailored specifically for your organisation and delivered at your offices, offering a cost effective solution for more than 5 employees.

  • In this Conduct Counts course, 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 Conduct Counts course is structured into three sections:
    • Why conduct still counts
    • Case study analysis – you decide
    • Group exercise; what does the FCA expect
  • 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
  • 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.
  • Why conduct still counts
    • Headlines and stories
    • The timeline of misconduct
    • Learning from the past
    • Defining conduct
    • Common themes
    • Exercise – name the misconduct story
    • Exercise – define conduct definition
  • Conduct Counts: You Decided
    • Judgement; can do vs should do
    • What is RIGHT?
    • Integrity outside the office (Jonathan Burrows case)
    • Training & competence
    • The perils of social media at all ranks
    • Exercise – Interactive Q&A using voting buttons to canvass attendees
  • The FCA View 
    • The 5 Conduct Questions
    • IDENTIFY What proactive steps do you take as a firm to identify the conduct risks inherent within your business?
    • ENCOURAGE How do you encourage the individual functions to feel and be responsible for managing the conduct of their business?
    • SUPPORT What support does the firm put in place to enable those who work for it to improve the conduct of their business or function?
    • LEADERSHIP How does the Board and ExCo gain oversight of the conduct of business within their organisation
    • ASSESSMENT Has the firm assessed whether there are any other activities that it undertakes that could undermine strategies put in place to improve conduct?
  • Creating a culture of integrity and accountability continues to be a key theme for the FCA and is the central thesis to this workshop.
  • Having worked with numerous organisations we aim to move your conduct agenda beyond a simple definition, to become an evolving part of your DNA.
  • Packed with practical case studies and exercises to focus on the identification of conduct issues, what you need to do and how you can learn from the past to make sure you do not end up as the next headline story!

Matt Fotherby

Financial Markets, Compliance & Regulations

Matt is our Founder and a passionate trainer.

His interest in education stems from his 10 years as an Account Executive looking after Global Hedge Fund and Asset Management clients. Matt quickly discovered that many of the financial market topics that his clients wanted to learn about were the exact same topics that he was striving to develop a better understanding of himself.

This led Matt to join the coveted Financial Markets Education team at UBS, a unique in-house education team that specialised in running a curriculum of financial market and product classes for both UBS employees and clients. Matt was responsible for building out the client offering; managing programs, creating content and teaching courses.

As financial markets entered a significant period of regulatory change Matt pivoted to take his client experience and market knowledge to focus on Regulations and Compliance topics.

Matt leverages his time spent as an attendee of training and fuses this with his deep markets knowledge and regulatory expertise to deliver engaging training designed to decipher complexity and equip learners with the knowledge they need to remain compliant and competent within their roles.

Matt leads on our Compliance & Regulations offerings.

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