ICA Specialist Certificate in Conduct Risk

Overview

With an increased focus on managing business conduct by regulators in many jurisdictions, financial firms are closely scrutinising 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.

The ICA Specialist Certificate in Conduct Risk provides you with an opportunity to understand the fundamentals of conduct risk. You will look at the key terminology and develop skills that will help you recognise 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, by referencing the Senior Managers & Certification Regime (SM&CR) in the UK.

This course is awarded in association with Alliance Manchester Business School, the University of Manchester. 



Who is the course suitable for?

This course will be aimed initially at staff working and wishing to work in roles in financial services companiesregulators and public organisations, including: 

  • compliance roles
  • sales management roles
  • product and process development roles
  • risk management roles
  • strategic development roles
  • complaint handling and customer service roles



What will you learn?

  • Development of the conduct agenda
  • Core components of conduct risk
  • What does good conduct look like for a firm?
  • Know your responsibilities and accountabilities
  • What does good conduct look like for customers?
  • Meeting the customer's objectives ~ the outcomes-focused approach
  • What is 'fair'?
  • The importance of good market conduct
  • Requirements and why they are there
  • Impacts of poor market conduct 
  • Understanding a conduct framework in practice - the Senior Managers & Certification Regime (UK) 



Entry requirements

The course is specifically designed to be detailed yet accessible. Prior subject matter knowledge will be useful, but is not essential.

To get the most from the course, a good standard of English is required.



How will you be assessed?

At the end of the online course, you will take a one-hour, multiple choice closed book examination.

Specialist certificate courses count as 15 hours of ICA CPD credit.

 


Membership of ICA

In order to study any ICA course you will need to become a member of ICA

 

 

What does it cost?

ICA Membership Fee £30
Course Fee** £595 (+VAT)

 

 

 

 

All costs are (+ VAT or local taxes if applicable). 

**Students currently residing in certain low GDP countries receive a 15% discount on this fee. View list of applicable countries here. This price may differ in countries where the course is priced in local currency. These fees include a printable certificate once you have completed the course.

This course appears on the approved training providers for the Oil & Gas Transition Training Fund in Scotland. Interested applicants should contact Skills Development Scotland www.transitiontrainingfund.co.uk

 

Download syllabus here

Download qualifications framework here

Enrol online

 

When and where can I study?

Visit International Compliance Training's website, our dedicated training partner, for information on the locations and dates for this course. 

Find out more about this course at a free briefing session ►  

I’d like to enrol, but I still have a few final questions.

Please provide us with your contact details and a representative from International Compliance Training, our dedicated training provider will be in touch shortly.

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