Hear from the FCA
Hear from David Blunt, Head of the Conduct Specialists Department at the FCA on a range of culture, SMCR & conduct topics including;
- The continuing importance of healthy firm culture for the FCA
- The impact of Covid-19 on culture – challenges and opportunities that have arisen from the pandemic
- Making a success of SM&CR: integrating the regime into your business and culture
- The role culture can play in progressing pressing social issues, such as the need to break barriers around diversity & inclusion, and climate change and sustainability
Meet Our Expert Speakers
Conduct & Culture in the time of Covid-19
Insight into Covid-19 Specific Issues
Maintaining a Sound Corporate Culture in a WFH Environment
- Practical tips for avoiding a slip in standards
- Onboarding new joiners into a new culture
- What challenges will a mixed working environment present for embedding a culture?
Assessing the Impact of Covid-19 on Conduct Risk
- What new risks have arisen?
- Changes to risk metrics and governance processes
- What can we learn going forward?
New Perspectives on Conduct Risk & Culture
The Behavioural Angle – New Customer Behaviours & New Risks
- Making sense of complex behaviour trends in digital transaction experiences
- Vulnerability considerations in a Covid-19 context
- Applying behavioural science/economics inside your organisation
Considerations for managing Conduct Risk as a Boundary Risk
- Conduct Risk links to other risk types
- Where does one draw the line?
- Managing & Measuring Conduct Risk as a boundary risk
Customer in Focus
Conducting Robust Root Cause Analysis of Customer Outcome Failures – Best Practice
- Methods for conduct root cause analysis
- How to turn analysis into action
- Feeding analysis into the conduct risk framework
Customer-Centric Culture as a driver of good Conduct – Beyond a Purpose Statement
- How do you operationalise a purpose statement?
- Embedding customer-centric culture in an organisation
- How exactly does a customer-centric culture and purpose result in good conduct?
SMCR Conduct & Culture
The Fitness & Propriety Test
- What should training for senior managers look like?
- Interactive and realistic scenarios and approaches to risk management
- Senior Managers assessment – How to retrain Senior Managers?
- Monitoring the effectiveness of training
- Moving away from generic e-learning and presentations to personalised training
- Monitoring and establishing policies to stop non-financial misconduct
- Looking at the Grey Area’s: Is all non-financial misconduct, misconduct?
- Understanding lessons learnt from previous experiences
- The types of breaches we are seeing more of - how to get yourself banned from the industry in 2020
- Strategies and techniques in monitoring your culture
- Formulating an efficient disciplinary process
- A look into diversity and inclusion: Are the FCA’s 5 conduct risk questions the best way to drive cultural change?
- Creating a culture of honesty and integrity to enable staff to operate within the new regime and speak out
- Speaking up when behaviour isn’t aligned with the Conduct Rules