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24 - 25 February 2021
Digital Conference,
GMT Time Zone

SMCR & Conduct and Culture in the time of Covid-19

SMCR & Conduct Risk Comprehensively Covered!

Expert Insight into Working from Home Challenges, Non-Financial Misconduct, Culture and Fitness & Propriety

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

Conduct & Culture in the time of Covid-19

Insight into Covid-19 Specific Issues
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
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
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
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
Conduct Breaches
Conduct Breaches
  • 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
Transforming Culture
Transforming Culture
  • 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

Are you or your colleagues interested in attending more than one event in 2021?

If you are a regulated financial institution, then you and your colleagues can sign up to attend several events at discounts of up to 50%!