Objetivo:
Participants will:
• Understand how culture and conduct impact everyday working situations in
financial services
• Gain insight into culture dynamics (tone from the top, mood in the middle, etc.)
• Be introduced to individual behaviour elements and how these can impact
conduct
• Receive updates on global trends in culture and conduct
• Understand ethical resilience and other methods to balance behaviour and
culture dynamics
TEMARIO:
Day 1
1. Introductions – do student introduce themselves?
2. Case Study #1 – remote working
3. What is conduct risk?
- Definition & overview
- Regulatory environment
4. Behaviour
- Psychology and culture as contributing factors to drivers for misconduct
5. A brief history of conduct risk
6. The rise of the importance of culture
- The street corner you’re on
7. Global trends in culture and conduct
8. Personal conduct
- With scenarios
9. Q&A
Day 2
1. Case Study #2 – Barings
2. A brief journey through the recent history of markets misconduct
3. Markets codes of conduct
4. Markets – behavioural cluster analysis: why history repeats itself
5. Conflicts of interest
6. Supervision
7. Q & A
Day 3
1. Case study: Archegos
2. Ethical resilience – How organizational behaviour can derail individual morality,
what happens in organizations (practical research), how to counter the factors
3. EthicEyes questionnaire debrief – results of the 360 questionnaires will be shared
on an un attributable basis, key themes identified and suggested actions
discussed based on the results gathered. (guest speaker departs)
4. Conduct planning (supported by questionnaire)
5. Q&A – ask us anything