2026년 2월 10일 · Unknown · financial · 출처 Globenewswire
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 strategiesUnderstanding of the regulatory requirements and how the regulator could become involved in misconduct issuesUnderstanding which areas to look at when identifying where conduct risk impactsAbility to clearly define what poor controls might look like and how they can be improved to mitigate conduct risk effectivelyAbility to take a conduct risk strategy and deliver through a governance and oversight frameworkBe 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 RiskBackground and FinesThe Regulatory EnvironmentConduct Risk Strategy, Culture and GovernanceGetting Your Conduct Journey on Track
Who should attend
From Banks, Financial Companies, Asset and Fund Management and FinTech Firms:
Compliance OfficersConduct Risk OfficersRisk Management & AuditCOOsOperational Risk ManagersManagementBanking AnalystsFinTech / RegTech ProfessionalsAML ProfessionalsHRNewly 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 RiskFirms and Legal Entities in ScopeOperations/Transactions in ScopeIntersection with other regulations - SMCR/SEAR, MIFID II/MAR, IFPR and IFR/IFD, FCA Consumer DutySystems and Controls
Conduct Risk Framework
Internal and External Risk Assessment
Governance and ControlsCulture and Behaviours - Financial and Non-Financial ConductMitigation of Market, Customer, Industry HarmsIndustry Scenario - Conduct Risk Framework for an Asset Manager
FCA Conduct Risk
Remuneration and Performance
SMCR and Prescribed Responsibility/ Individual AccountabilityInherent Risk - AML, PEP, SustainabilityExternal Risk - Market and Industry Harms and MitigationConsumer Duty and Treating Customers Fairly (TCF)CASS and Conduct Risk - Conflicts of Interest, MissellingIFPR and SMCR Material Risk Takers (MRT) and Conduct RiskMetrics and MonitoringIndustry 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 MonitoringIFR/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 ScenarioProduct Manufacturers and Distribution - Monitoring of Conflicts of Interest, Insider DealingAsset Managers, Asset Servicing, and Custody - Identifying and Monitoring Conduct Risk - Industry ScenarioConduct Risk Policy and Procedures for various BNYM operationsRegulatory 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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