Conduct & Ethics for the Board & Senior Management
A poor culture has been at the root of many financial scandals.
For any business, be it in financial services or another industry sector, be it regulated or unregulated, it is essential that the culture of the firm should be clearly understood by Senior Management and the Board and that this should cascade down to all staff in order to influence conduct. For regulated firms, those behaviours should result in the right customer outcomes.
This course discusses the concept of culture, questions what makes a good culture in a firm and poses challenges to Senior Management to show the right cultural and ethical leadership. This will allow all staff to understand what constitutes the right behaviour in specific scenarios and where to go for assistance if they are not sure.
After attending this course, participants will be able to:
- Explain the importance of the right culture in their firm
- Describe the regulator’s views on culture
- Explain how they can show the right cultural and ethical leadership in their firm
- What is a good culture?
- Regulators’ views on culture
- Regulatory responsibility of senior individuals
- How culture turns into conduct
- How to ensure that the firm’s culture creates the right behaviours
- Cultural and ethical leadership by the Board and Senior Management
Have the flexibility to deliver your In-House training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.
Find out more about your Virtual or In-Person training experience below.
Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
- Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.
Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.
On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
Our in-person training is delivered face to face at your offices, and includes:
- ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.