Conduct Risk Wholesale



Course Outline

The course is divided into the following topics:

Conduct Risk & the Firm

This looks at the definition of Conduct Risk and the drivers behind its development.
The section can be tailored to include a text or video message from the Chief Executive Officer.

Conduct Risk & Clients

This section focuses on the fair treatment of clients and client detriment caused by poor behaviours. It encourages a learner to think from the client's perspective.

Conduct Risk & Markets

This section looks at Conduct Risk from a market and society perspective. It explains the 'continuum' between Retail and Wholesale business and the impact of Conduct Risk in non-client-facing roles.

Conduct Risk & You

This section focuses on behavioural change and focuses on thinking in the right way, acting in the right way and escalating in the right way.

Conduct Risk in Practice

In this section, the learner is given the opportunity to apply what they have learnt in some

Further Information

Format

SCORM 1.2 compliant. HTML/CSS/JS.

Implementation

This course runs on any SCORM compliant LMS platform. JavaScript must also be enabled and all pop-up blockers disabled. Requires IE7 or above.

Course Overview

This course defines Conduct Risk and explains its role in the restoration of trust in the banking industry.

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Details

Learning outcomes:

By the end of the course the learner will:

  • Understand the definition of Conduct Risk and how it applies to their firm
  • Understand the importance of looking at decisions and actions from the perspective of the client, society and the future
  • Understand the importance of taking individual responsibility for the way we act and for escalating appropriately
  • Have had the opportunity to practice those behavioural changes in practice

Audience:

The course is suitable for all staff at all levels.

Course duration:

Approximately 20 minutes.

Assessment:

The course includes a series of exercises and scenarios to test understanding. A question bank can be added upon request.


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