Cost to ICA Members - £295 +VAT (Non-Members - £395 +VAT)
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Guernsey, 20th November 2019
Time: 9:30am - 12:30pm (Registration from 9:00am)
Venue: GTA, St Peter Port House, Union Street, Guernsey GY1 2PT
Speaker: David Jackman
Title: Conduct & Culture
Aimed at anyone who has an interested in finding out more about conduct and culture or brushing up their knowledge.
Conduct is at the heart of ‘preventative’ regulation – stopping ‘bad’ things happening in the first place is so much cheaper and more effective than repair!
Culture is at the core of good conduct- but for many it has proven so difficult to build and then embed a compliance culture. Compliance at all levels needs to learn how to use ‘soft engineering’.
FCA is putting conduct and culture centre stage especially in SM&CR (Senior Managers and Certification Regime). In fact many regulators are staking the ‘next phase’ of regulation on ensuring good conduct. There isn’t really any cost-effective alternative and the pressure is on compliance to deliver...
It is easy to talk about culture – ‘doing the right thing’, ‘tone from the top’ – quite another to embed sustainable and genuine change.
Regulators can increasingly spot the difference!
Learn how to put in place a robust and business responsive culture that is sustainable and will genuinely deliver compliance aims and standards. This will need a defined vision, an understanding of values and value, techniques and systems to build maturity and new ways of reporting and measuring. We will examine in practical detail ‘soft engineering’.
On this course you will learn:
- Learn what Conduct is all about
- Understand why the regulator cares about Conduct and Culture so much
- What does the SM&CR Code of Conduct and similar really require?
- Get the latest on ‘Duty of Care’
- How mature is your firm’s culture now
- Critically, set a new direction for conduct and culture
- What works, what doesn’t
- Learn how to use soft engineering for the benefit of the business
- Discover and practice the new compliance skills that are needed
- How do you build a wider culture and conduct programme?
- What to measure?
- What is the regulator looking for?
- The costs of failure
On-the-day workshop Agenda
- Why is conduct and culture such an important area right now?
- What are the costs of failure?
- Define conduct and culture
- Where is your firm at present? Are there misunderstandings?
- What are the tools available?
- How to use soft engineering
- Where do values and ethics fit in?
- Controlling key risks
- How to empower your staff?
- What to measure?
- Reporting and engaging with the board
- What is the regulator looking for especially?
- Syndicate exercises and case studies
- What is the wider significance of conduct and culture?
Refreshments will be provided