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Conduct Risk Training Course: Regulator Approaches and Best Practices in the UK, EU, and Globally (ONLINE EVENT: March 25th, 2026)

Research and Markets

Tue, February 10, 2026 at 6:48 PM GMT+9 4 min read

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Opportunities lie in providing training on conduct risk management, focusing on regulator approaches and best practices in the UK, EU, and globally, to prevent financial and reputational losses due to non-compliance.

Dublin, Feb. 10, 2026 (GLOBE NEWSWIRE) – The “Conduct Risk (February 15, 2026)” training has been added to ** ResearchAndMarkets.com’s** offering.

Conduct risk is a key challenge to many financial companies. With the increased scrutiny of regulators over financial firms, companies have to understand how business conduct can impact them and what practical implications it brings for management and employees.

Mismanagement of conduct risk can lead to financial and reputational loss for the firm. This very practical one day session conducted by a senior City expert will equip you with a strong understanding of conduct risk and its implications for non-compliance. You will learn about regulator’s approach as well as best practices in the UK, EU and internationally.

What will you learn

Increased awareness of conduct risk issues and understanding of mitigation strategies

Understanding of the regulatory requirements and how the regulator could become involved in misconduct issues

Understanding which areas to look at when identifying where conduct risk impacts

Ability to clearly define what poor controls might look like and how they can be improved to mitigate conduct risk effectively

Ability to take a conduct risk strategy and deliver through a governance and oversight framework

Be equipped to proactively engage and consult with senior internal stakeholders around managing conduct risk and deployment of mitigation strategies

Main topics covered during this training

Defining Conduct Risk

Background and Fines

The Regulatory Environment

Conduct Risk Strategy, Culture and Governance

Getting Your Conduct Journey on Track

Who should attend

From Banks, Financial Companies, Asset and Fund Management and FinTech Firms:

Compliance Officers

Conduct Risk Officers

Risk Management & Audit

COOs

Operational Risk Managers

Management

Banking Analysts

FinTech / RegTech Professionals

AML Professionals

HR

Newly appointed Consultants

Key Topics Covered:

Regulatory Background and Scope

UK Regulatory Objectives (FCA and PRA Approach)

EU Commission Objectives (ESMA and local regulators)

Approach to Conduct Risk

Firms and Legal Entities in Scope

Operations/Transactions in Scope

Intersection with other regulations - SMCR/SEAR, MIFID II/MAR, IFPR and IFR/IFD, FCA Consumer Duty

Systems and Controls

Conduct Risk Framework

Internal and External Risk Assessment

Governance and Controls

Culture and Behaviours - Financial and Non-Financial Conduct

Mitigation of Market, Customer, Industry Harms

Industry Scenario - Conduct Risk Framework for an Asset Manager

 






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FCA Conduct Risk

Remuneration and Performance

SMCR and Prescribed Responsibility/ Individual Accountability

Inherent Risk - AML, PEP, Sustainability

External Risk - Market and Industry Harms and Mitigation

Consumer Duty and Treating Customers Fairly (TCF)

CASS and Conduct Risk - Conflicts of Interest, Misselling

IFPR and SMCR Material Risk Takers (MRT) and Conduct Risk

Metrics and Monitoring

Industry Scenario - FCA Conduct Investigation of a Lender/Investment Bank

EU (ESMA) Conduct Risk

MIFID II - Suitability and Appropriateness, Governance and Organisational Requirements

MAD/MAR - Market Abuse Governance and Monitoring

IFR/IFD - Risk Governance, Remuneration and Conduct Principles

Conduct Risk Monitoring and Controls - Operational Aspects

Monitoring Conduct within Global Markets and Broker/Dealers - Industry Scenario

Conduct Risk for Governing Board, Senior Managers, Material Risk Takers - Industry Scenario

Product Manufacturers and Distribution - Monitoring of Conflicts of Interest, Insider Dealing

Asset Managers, Asset Servicing, and Custody - Identifying and Monitoring Conduct Risk - Industry Scenario

Conduct Risk Policy and Procedures for various BNYM operations

Regulatory Horizon Scanning and Next Steps

Speakers

The trainer is an industry advisor and regulatory expert with over 20 years of experience in investment banking, asset management and Regulatory Technology (RegTech). He is an industry expert in Financial Regulation, RegTech, Open Banking, Digital Payments and Payments Systems and cover all the key banking and finance regulations across US, EMEA and APAC including MIFID II, EMIR, CASS, SFTR, IFR/IFD, Dodd Frank, FINMA (SIX), HKMA MAS and SFC, IBOR Transitions, SMCR, and ESG Regulations such as SFDR.

His recent key engagements include banks such as HSBC, Deutsche Bank, JP Morgan and Barclays and buy side firms such as T. Rowe Price, Ruffer, M&G and Investec Asset Management. He is also a member and advisor of Industry association committees for regulatory consultations with bodies such as ESMA, FCA, PRA/Bank of England and SEC.

For more information about this training visit https://www.researchandmarkets.com/r/cdfujj

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