概要

Conduct Risk is the risk of inappropriate, unethical or unlawful behaviour on the part of an organisation’s management or employees.

Such conduct can be caused by deliberate actions or may be inadvertent and caused by inadequacies in an organisation's practices, frameworks or education programs. Conduct Risk can have significant ramifications for an organisation, its shareholders, clients, customers, counterparties and the financial industry.

The financial sector seems to be particularly exposed to misconduct and conduct risk. It is important that management at all levels are aware of such risks and how to address it.

內容

• What is Conduct Risk?
• What are the main drivers of conduct risk?
• How did we get there?
• Some case studies and the response of the regulators, e.g.
   - Enron
   - FTX
   - Normalisation of Deviance
   - Credit Suisse
• How to manage Conduct Risk

對象

Directors, MICs, compliance officers, risk professionals, finance professionals, internal auditors and industry practitioners who are interested in Risk Management.