Conduct Risk Retail



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. It explains the shift from “can we” to “should we” and the role that Conduct Risk plays in restoring trust in the industry.

The section can be tailored to include a text or video message from the Chief Executive Officer.

Conduct Risk & Customers

This section focuses on the fair treatment of customers and discusses the connection between Conduct Risk and Treating Customers Fairly. It encourages a learner to think from the customer's perspective and explores the Conduct Risks that can occur at every stage of the client journey.

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 interactive scenarios.

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 discusses the role of Conduct Risk in the restoration of trust at an industry and firm level. It focuses on how individual actions can create positive client outcomes.

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Details

Learning outcomes:

By the end of the course the learner will:

  • Know the ethical and commercial importance of doing the right thing
  • Understand the behavioural changes required to mitigate the risk of future damage and harm
  • Have had the opportunity to practice those behavioural changes in a series of practical exercises and scenarios

Audience:

The course is suitable for all staff within retail financial services firms.

Course duration:

Approximately 20 minutes.

Assessment:

The course includes a series of exercises and scenarios to test understanding.


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