Course Agenda

Agenda

Day 1 - Wednesday 12 September

08:30

Registration and refreshments

09:00

Conduct Risk - Setting the scene

  • What is Risk Culture and why is it important?
  • How Conduct Risk fits into Risk Culture
  • Conduct Risk Timeline
  • What does the Senior Management Regime mean for Conduct Risk? 
  • What next? 

Speaker: Paul Butler, Managing Consultant, Catalyst Development

10:30

Morning break

11:00

Creating a sound conduct risk programme

  • Conduct risk appetite & drivers
  • Highly visible CEO engagement 
  • Clear ownership and responsibility for the programme implementation
  • Embedding conduct into processes of the product value chain
  • Designing an internal audit and monitoring process to produce active engagement
  • Setting timelines and responsibilities 

Speaker: Victoria Wickens, Head of Compliance Advice, Firm & Culture, Nationwide Building Society

12:30

Lunch

13:30

Scope and driving forces

  • Differentiating conduct risk from culture, ethics and compliance
  • Comparing conduct risk with other risk types (operational, credit, market)
  • Strategy: ethical culture, business model and ownership 
  • The language of practices that encourage and erode ethical work cultures
  • Initiatives to reform culture within the financial services sector
  • Tailoring according to; size, business model & geographic reach 
  • Operating model change and how to ensure an effective change management process

Speaker: Sam Lee, Head of Op Risk, EMEA, Sumitomo Mitsui Banking Corporation Europe Limited 

15:00

Afternoon break

15:30

Conduct Risk in Global Banking Markets & Trading Businesses

  • Spotlight on wholesale market conduct risk
  • Organisational culture vs risk culture vs conduct culture
  • Market conduct risk 
    • What is market conduct risk? 
    • Why market conduct risk is important?
    • Drivers of market conduct risk 
    • How does market conduct risk manifest?
    • Recent industry malpractices
    • Regulatory expectations
    • Strengthening the fundamentals - the three lines of defence
    • Control environment considerations

Speaker: Imran Ashraf, Vice President, Internal Audit, Citi

17:00

End of day one

Day 2 - Thursday 13 September

08:30

Refreshments

09:00

Risk culture and behaviours

  • Developments in the supervision of behaviour & culture
    • Foundational approach to strengthening risk culture 
    • Implications of the Dutch model for the supervision of behaviours and culture
      • Introduction to the approach
      • Making better decision
      • Improving group dynamics
      • Assessing cultural change programmes
  • Developments in preventing misconduct through utilising a team climate perspective 
    • "Corrupting barrels v bad apples"
    • Identifying social psychological root causes of misconduct 
  • Improving your errors management culture 
    • Lessons from other industries
    • Utilising just culture 
    • Identifying effective errors management processes 

Speaker: Enda Twomey, Risk and Governance Consultant 

10:30

Morning break

11:00

HR Process as agents of cultural identification

  • Talent management – how to hire those who practice good conduct 
  • Flexible rigor 
  • Diversity and reputational risk
  • Remuneration
  • Performance management
  • Speak up/ whistleblowing conduct culture
  • How can training be embedded in the organisations culture to enhance good conduct?
  • Conflicts of interest, supervision, incentivisation and reward, communication and training

Speakers: Derek Hammond, Managing Director, Head of Culture and Conduct, Societe Generale

                  Emma Steck, UK HR COO and Director of HR Operations, Societe Generale

12:30

Lunch

13:30

Conduct risk & digitisation 

  • RegTech; catalyst for a host of strategic applications
  • Industry next steps and market forces
  • Regulatory horizon scanning and foreseeable risks
  • Digitisation as means to transform customer experience

Speaker: Emma Parry, Founder and Managing Partner, NovaFin Consulting Ltd. 

15:00

Afternoon break

15:30

AML & KYC

  • Overview of current regulations for financial crime; HMRC, ESA's, FCA - how does this relate to conduct & compliance?
  • Assessing the risks your business may face and mitigating these; identify, understand & monitor your customers
  • Risk assessments 
  • Anti competitive behaviour 
  • Culture that addresses different AML and anti-corruption worldwide rules 

Speaker: Sandeep Sroa, Senior Consultant, Catalyst Development 

 

17:00

End of course