Course Agenda

Day one - 7 March 2018

Delivered by Peter Haines, Consultant and Editor of 'Conduct Risk: A Practitioner's Guide' 

08.30 Registration and refreshments

09:00 Introduction and overview

  • Assessing industry progress and areas for improvement 
  • Recent developments and high profile cases
  • Regulatory objectives and focus areas 
  • Learning the lessons and turning a corner 

10:30 Morning Break

11.00 Assessing the programme of work

  • Business case, scope and stakeholder engagement 
  • Change management vs. BAU delivery 
  • Assessing in-flight delivery - lessons learned and future priorities 
  • Surgery session - setting up for success 

12.30 Lunch

13.30 Revisiting the risk framework

  • Conduct and the relationship with other risk types 
  • Identify, measure, manage, monitor and report 
  • Three lines of defence ownership and gaining stakeholder engagement 
  • Areas of weakness and fixing the holes 

15.00 Afternoon Break

15.30 Looking to the future

  • Industry next steps and market forces 
  • Regulatory horizon scanning and foreseeable risks 
  • Providing an unforgettable customer experience with fair outcomes 
  • Progressing cultural change as a driver for managing conduct risk 

17.00 End of day one

 

Day 2 - Thursday 8 March

08.30 Coffee and refreshments

09.00 Infrastructure of a conduct risk framework

  • Managing information, metrics and reporting
  • Assessing conduct risk data
  • Developing foresight as a competitive advantage
  • Keeping data secure
  • Systems, data and technology used to provide reliable data
  • What does the Senior Management Regime mean for conduct risk?

10.30 Morning break

11.00 Creating a sound conduct risk programme

  • Highly visible CEO engagement
  • Clear ownership and responsibility for the programme implementation
  • Embedding conduct into processes of the product value chain
  • Design an internal audit and monitoring process to product active engagement
  • Conduct risk included when setting risk appetite

Derek Hammond, Head of Culture and Conduct, Société Générale

12.30 Lunch

13.30 HR Processes as agents of cultural identification

  • Talent management - how to hire those who practice good conduct
  • How can training be embeddig in organsations culture to enhance good conduct?
  • Remuneration
  • Performance management
  • Speak up and whistleblowing conduct culture

Benjamin Bair, Head of Conduct Oversight, Barclays

15.00 Afternoon break

15.30 Cultural change as a means of competitive advantage

  • Culture that addresses different AML and anti-corruption worldwide rules
  • Using culture to create sustainability of competitive advantage
  • Accountablility 
  • Transparency for customers
  • Integrity - can stakeholders trust

17.00 End of day one

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