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AED 18.300

Home All Courses CCR - Certificate in Conduct Risk
4.8

CCR - Certificate in Conduct Risk

3 alternative locations available

Course Overview

Conduct risk has become a top priority for boards of financial institutions globally. But what is conduct risk? Essentially, it refers to how firms and their staffs conduct themselves- including how customers are treated, how staff are remunerated and how conflicts of interest are addressed. Losses associated with or attributed to conduct risk around the world have far exceeded credit risk and market risk losses over the past few years. With an increased focus on managing business conduct by regulators in many jurisdictions, financial firms are closely scrutinizing what conduct risk means in practice to them. As a result, firms need to understand how business conduct impacts on their business, their employees, their customers and the market in which they operate. You will look at the key terminology and develop skills that will help you recognize good and poor conduct. You will explore key regulatory developments that affect your firm and your stakeholders and will gain an understanding of how to react. You will also gain a valuable insight into how a regulatory conduct framework works in practice.

3 alternative locations available

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Run This Course

Enjoy this certified

program at your premise of choice, with lower costs, and schedule that suits you best.

FULLY CUSTOMIZED

ACCORDING TO YOUR NEEDS!

5 Key Takeaways

1

Gain an understanding of the Concept of Conduct Risk, its Drivers and its relationship to protecting organizations.

Understanding the Conduct Risk Framework and how it is applied in the context of Risk Management

2

3

Gain a practical understanding of examples of Conduct Risk failures through case studies including the role of regulation in Conduct Risk

Understand the relationship between Conduct Risk and Risk Culture and the role of Risk Culture in Conduct Risk

4

5

Understand the strategies for implementation of an Effective Conduct Risk Framework and Process.

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05

See What’s Inside Our 2019 Catalog

Course Outline

DAY 1

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 actions - What 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

DAY 2

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

DAY 3

EDUCATIONAL PARTNER

LEORON - Professional Development Institute

Built upon the strong experience in the manufacturing sector, which the founders developed in Sweden during the 90’s global expansion, LEORON evolved into a comprehensive training institute, offering training and development solutions in all strategic corporate functions, including corporate finance, HR, SCM, operations, and engineering.

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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Introducing LEORONʼs mobile app!

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Your Professional Development

Institute in the palm of your hand!

WEBADVISOR • MOODLE • COURSE SCHEDULE •

COURSE CATALOG • STUDENT SERVICES • AND MORE!

NOW AVAILABLE

Who Should Attend?

This highly practical and interactive course has been specifically designed for:

This course will be suitable for personnel in the financial markets with a basic understanding of Risk Management. It is particularly designed for:

  • Risk, Audit & Compliance Professional
  • Head of Operational Risk
  • Managers of Enterprise Risk Management
  • Senior Risk Managers
  • Quality Assurance Executives
  • Directors
  • Executives
  • Financial Controllers
  • Procurement & Sourcing Managers
  • Finance Personnel
  • Internal Auditors & Accountant
  • Strategic Planners
  • Operations & Logistic Executives

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FREQUENTLY ASKED QUESTIONS

Most of our public courses are delivered in English language. You need to be proficient in English to be able to fully participate in the workshop and network with other delegates. For in-house courses we have the capability to train in Arabic, Dutch, German and Portuguese.

LEORON Institute partners with 20+ international bodies and associations.
We also award continuing professional development credits (CPE/PDUs) for:
1. NASBA (National Association of State Boards of Accountancy)
2. Project Management Institute PDUs
3. CISI credits
4. GARP credits
5. HRCI recertification credits
6. SHRM recertification credits

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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