Conduct Risk: A Practitioner's Guide, London

Course Agenda

Day one - 19 September 2017

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

08.30 Registration and coffee

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 Coffee 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 Coffee 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 - 20 September 2017

08.30 Coffee and Registration

09.00 Practical implementation via the use of operational risk tools 

  • Losses and near misses - process change due to the impact of conduct 
  • Reducing complexity and embedding in the operating model 
  • Driving the right behaviours - case study: UBS 

Speaker: Elena Pykhova, Director, The OpRisk Company   

10.30 Coffee break

11.00 Quantification of conduct risk

  • Conduct risk appetite 
  • Scenario analysis and regulatory capital calculation 
  • How to quanity the impact of key conduct events
Speaker: Suzie Littlechild, Senior Business Risk Manager, Risk Division, Santander UK

12.30 Lunch

13.30 Approaches to building a positive risk culture

  • How can we influence risk culture ?
  • Which other factors effect risk culture? 
  • How can positive risk culture mitigate conduct risk? 
  • Views on risk culture from across the industry

Speaker: Enda Twomey, Head of Risk, Strategic Remediations, Ulster Risk, Ulster Bank

15.00 Coffee break

15.30 How conduct risk fits into an overall risk and control culture change

• What drives culture ?
• How to measure it
• What a programme of change for risk culture should consist of

Speaker: Paul Butler, Managing Consultant, Catalyst Development

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