Agenda

agenda

Developing a Conduct and Culture Risk Framework | Agenda

Agenda timing is in HKT/SGT

08:4509:00

Registration

09:00 - 09:30

09:0010:00

Getting Culture and Conduct Right

09:00 - 09:45

  • Clarifying the vocabulary of “cultural risk”
  • What are the difference among conduct, governance & culture?
  • What are a firm’s risk management objectives with respect to culture and conduct?
  • How should roles and responsibilities be assigned to support this mission?
  • How can supervisors reinforce effective cultural risk management?

10:0010:15

Morning break

11:00 - 11:30

10:1511:15

Approaches to Building and Maintaining a Positive Risk Culture and Conduct Risk Framework

10:00 - 11:15

  • Embedding risk culture into overall corporate culture and how it can help mitigate conduct risk
  • Building a conduct risk framework that can be integrated into the fabric of an organization
  • Selection of models and processes and how HR performances management and compensation plays into driving behaviour
  • Methods of measurement (employee breaches and loss event reporting etc.)
  • Setting timeline and responsibilities

11:1511:15

End of Day 1

17:30 - 17:31

09:0010:00

Identifying and Measuring Conduct Risk

09:00 - 10:00

  • Risk sources and taxonomy
  • Quantification, probability and severity
  • Going beyond policy and control requirements
  • Metrics, tolerances and targets
  • Managing conduct risk
  • Avoid, reduce and accept the role of risk culture

10:0010:15

Morning break

11:00 - 11:30

10:1511:15

Managing AML/KYC

10:15 - 11:15

  • Overviews: how are they relevant for conduct & compliance?
  • Miss selling
  • Anti-competitive behaviours
  • Insider & rogue trading
  • Applications of technology to manage KYC/AML (AI, block chain, big data)
  • Embedding culture and conduct into AML/KYC strategies

11:1511:15

End of Day 2

09:00 - 10:00

09:0010:00

The link between conduct and culture

09:00 - 10:00

  • Barriers to achieving ethical conduct
  • Unintended consequences of business decisions leading to increased potential for conduct risk
  • Discussion: link between culture and conduct – an exploration based on participants experiences

10:0010:15

Morning break

11:00 - 11:30

10:1511:15

Case Study: Putting the Conduct Risk Framework into Practice

10:15 - 11:15

11:1511:15

End of Day 3

09:00 - 10:00

09:0010:00

Building a framework in Asia

09:00 - 10:00

  • Financial conduct authority
  • Suitability of products for customers
  • Cooperation of ‘insiders’
  • Role of board members
  • Capital requirements regulation – corporate governance

10:0010:15

Morning break

11:00 - 11:30

10:1511:15

IBOR Specific Conduct Risk

10:15 - 11:15

  • Conduct risks that have emerged moving from IBOR
  • Preparing your institution to face the conduct risks
  • What are the specific conduct risks involved
  • How to manage the conduct risks as the transition is happening

11:1511:15

End of course

17:30 - 17:31