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24 - 25 February 2021
Digital ConferenceGMT Time Zone

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

Log-in details have been sent

The log-in details for this conference have now been sent to all delegates and speakers.

If you have registered but not yet received these details or if you have just booked your ticket now please email

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

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

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

  • 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%!