The scale of misconduct evident in the financial services industry has caused widespread mistrust amongst the public. A corollary is to question the extent to which such behaviour has damaged the effectiveness of the markets. A multitude of very public examples illustrates the fallout when conduct risk goes wrong. Given the importance of personal conduct to market integrity, ASIC constantly monitors markets and actively prosecutes offenders.
The workshop is based on face-to-face learning and involves a mix of presentation, case studies and scenario-based discussion.
Attendees will expect to walk away with a solid understanding of what constitutes Conduct Risk; where Conduct Risk might go wrong; and where it belongs in the risk world. More importantly, attendees will learn how Conduct Risk affects them.
Is there any assumed pre-requisite knowledge for attendees?
There is no assumed knowledge for participants of this workshop.
Will attendees receive any CPD points for attending the workshop?
Yes, all attendees will receive a CPD Certificate for 1 and ½ (1.5) hours (Generic, Securities, Managed Investments, Compliance).
See CPD Calendar for other upcoming CPD Workshops