About Course


Day one will look at the difference of culture and conduct and how they fit together whilst taking a look at how to build and maintain a risk culture and conduct risk framework. The course will also provide knowledge of how to identify and measure your conduct risk through quantification. Day one will end with a session on the role of the three lines of defence from an internal audit perspective. 

Day two will start with a session on managing AML and KYC by looking at topics such as miss- selling and insider trading. There will be a case study session to show the practical way of putting the conduct risk framework in to practice.  The course will finish with a regulation session and how the UK, EU and US compare.