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AED 18.300

Home All Courses CCR - Certificate in Conduct Risk

CCR - Certificate in Conduct Risk

2 alternative locations available

Course Overview

2 alternative locations available



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Course Outline


INTRODUCTION TO CONDUCT RISK, ITS COMPONENTS, DRIVERS, IMPLEMENTATION STEPS & ASSOCIATED CHALLENGES Morning Session – DAY 1 1.1 Definition and Concept of Conduct Risk 1.2 What is Risk Culture and Introduction- Why is Conduct Risk in the Spotlight? 1.3 Why is Conduct Risk important in the current global context? 1.4 TEAM EXERCISE: How Conduct Risk fits into Risk Culture? Brainstorming Practical Workshop - Formulating Conduct Risk implementation actionsWhat should be done to manage Conduct Risk by your organization? 1.5 Conduct Risk Components 1.6 Relationship Between Conduct and Culture 1.7 What Drives Conduct Risk? Eight Key Conduct Risk Drivers - A Detailed Look into the Drivers Afternoon Session – DAY 1 1.8 TEAM EXERCISE: Developing Conduct Risk Metrics to monitor Conduct Risk in your organization 1.9 What is the role of the Board & Senior Management Regime in the management of Conduct Risk? 1.10 Main Steps in Conduct Risk Institutionalization 1.11 Foundation Elements of a Strong Risk Culture 1.12 Q&A SESSION AND KEY TAKEAWAYS FROM DAY 1  


CONDUCT RISK FRAMEWORK & POLICY, ITS COMPONENTS, CONDUCT RISK APPETITE, ROLE OF TECHNOLOGY & OPERATIONAL RISK Morning Session – DAY 2 2.1 Defining the Scope for an Enterprise Conduct Risk Framework 2.2 Conduct Risk Framework Components & Implementation 2.3 Role of Technology and How Technology can help in better managing Conduct Risk 2.4 Recent Costs of Remediation Due to Conduct Risk Failures 2.5 Conduct Risk Appetite - Is there an Optimal Level for Conduct Risk? 2.6 TEAM EXERCISE: Determining root causes of bad conduct. An interactive deep dive session looking into root cause analysis of misconduct. Afternoon Session – DAY 2 2.7 How can Operational Risk play a role in Conduct Risk Enforcement and Management 2.8 Operational Risk metrics (People, Process & Systems) that can assist organizations in the monitoring of conduct risk breaches. 2.9 Role of Internal audit and monitoring process in enforcing Conduct Risk 2.10 Role of establishing defined timelines and responsibilities in the implementation of an effective Conduct Risk framework. 2.11 Q& A SESSION AND KEY TAKEAWAYS FROM DAY 2  


REGULATORY LANDSCAPE AROUND CONDUCT RISK - TRENDS AND KEY DEVELOPMENTS – ROLE OF HUMAN RESOURCES IN MANAGING CONDUCT RISK Morning Session – DAY 3 3.1 Regulatory Landscape Around Conduct Risk 3.2 Enforcement for Misconduct by Top 15 Global Regulators (2012-2018) 3.3 Top three sectors most frequently fined for Misconduct 3.4 Frequency of financial penalties for misconduct by Service Line 3.5 Expectations from Regulators going Forward 3.6 TEAM EXERCISE: Brainstorming Future Emerging Challenges Around Conduct Risk based on Historical Experience and Regulatory Experiences Afternoon Session – DAY 3 3.7 Talent management – Key Considerations in HR Management to drive better Conduct Risk Outcomes 3.8 Remuneration, Reward & Incentivisation - Significance of an effective reward structure to promote an effective risk culture for the management of conduct risk 3.9 Role of Whistleblowing in the enforcement of Conduct Risk Management 3.10 Role of Performance Management and its linkage to Accountability in the Management of Conduct Risk 3.11. Role of Training and Development in Conduct Risk Management 3.12. Team Exercise: How can Human Resource Management assist in enforcing Conduct Risk? 3.13 Q& A & KEY TAKEAWAYS FROM DAY 3  


A) CASE STUDIES ON CONDUCT RISK: KEY MISCONDUCT EVENTS AND ITS RELATIONSHIP TO CONDUCT RISK. B) ROLE OF KEY RISK MANAGEMENT REPORTING FOR MANAGEMENT OF CONDUCT RISK INCLUDING A LOOK AT ARTIFICIAL INTELLIGENCE IN MANAGEMENT OF CONDUCT RISK Morning Session – DAY 4 4.1 The Case of Wells Fargo 4.2 TEAM EXERCISE: Key Lessons from the WellsFargo Case. Actions that institutions could take to prevent situation arising 4.3 Australian Royal Commission Investigations into Misconduct 4.4 TEAM EXERCISE: What could have prevented the Australian financial services sector not being scrutinized by the Australian Royal Commission 4.5 LIBOR manipulation 4.6 PPI Misselling (UK) 4.7 CASE STUDIES Q& A: What are the key lessons learnt from the case studies? Afternoon Session- DAY 4 4.8 Types of Risk Reports for the Management of Conduct Risk 4.9 Q&A: What should Risk Reports include in managing Conduct Risk 4.10 Key data elements that should form part of conduct risk reporting 4.11 Role of an integrated Enterprise Risk Reporting System for the Management of Conduct Risk 4.12 Role of Artificial Intelligence (AI) in improving risk reporting for management of Conduct Risk 4.13 Ownership of Risk Reporting 4.14 Q&A AND KEY TAKEAWAYS FROM DAY 4  


MANAGEMENT OF CONDUCT RISK Morning Session – DAY 4 5.1 Controls and Effective Strategies for Mitigation and Management of Conduct Risk including role of fair treatment of customers 5.2 EXERCISE: To What Extent can Internal Audit play a major role in enforcing Conduct Risk 5.3 Tools for Firms/Organizations mitigating Cultural Drivers of Misconduct 5.4 Best Practices for Managing Conduct Risk 5.5 Proactive vs Reactive Approaches in Managing Conduct Risk 5.6 Role of the Board, CEO and CRO in managing Conduct Risk Afternoon Session – DAY 5 5.7 Developing a strategic plan for the management of Conduct Risk 5.8 Dynamic Vs Static Approach to Conduct Risk 5.9 Incorporating Effective Fraud Risk Management for the Management of Conduct Risk 5.10 Role of KYC and AML in Good Conduct Risk Management 5.11 Management of Conflict in the Management of Conduct Risk 5.12 Closing Remarks & Conclusion 5.13 INTERACTIVE DISCUSSION AND Q&A – KEY TAKEWAYS FROM THE CONDUCT RISK PROGRAM Course Evaluation and Certificate Handouts


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With strategic distribution of our offices in leading locations, such as Dubai, Riyadh, Jonkoping, Skopje, Accra, and Almaty, our team of experts delivers approximately 500 courses annually, and roughly 10000 professionals are equipped with appropriate education and the latest insights in a wide assortment of industries across the EMEA region.



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LEORON Institute partners with 20+ international bodies and associations.
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The deadline to register for a public course is 14 days before the course starts. Kindly note that occasionally we do accept late registrations as well, but this needs to be confirmed with the project manager of the training program or with our registration desk that can be reached at +971 4 447 5711 or [email protected].

The course fee covers a premium training experience in a 5-star hotel, learning materials, lunches & refreshments, and for some courses, the certification fee and membership with the accrediting bodies.

Yes, we can provide discounts for group bookings. If you would like to discuss a discount on a corporate level, we will be happy to talk to you.

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