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Course Overview
Discover what good conduct looks like for your firm and your customers.
- Understand good conduct - uncover what good conduct looks like for your firm and what it looks like for customers
- Navigate risks - explore conduct risk in the context of governance, risk and compliance (GRC) frameworks
- Review examples – understand how good conduct can contribute to good customer and market outcomes
- Conduct in practice - get to grips the UK Senior Managers and Certification Regime, GDPR, handling complaints and vulnerable customers
Course Content
- 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-based approach
- The importance of good market conduct
- The impact of poor conduct
- Understanding a conduct framework in practice – the Senior Managers & Certification Regime (UK)
- Ensure effective risk management
Benefits
Raise your professional profile by gaining a life-long qualification awarded in association with Alliance Manchester Business School, the University of Manchester.
Prerequisites
This ICA Specialist Certificate is suitable for New Entrants/Operations, Officers, Specialists, Analysts, Managers and Senior Leaders who work in compliance.
This course is ideal for learners who wish to certify existing knowledge or those looking to increase their professional agility by learning about conduct risk.
The fee for ICA membership will be added separately to your basket when you enrol online for this course.
Assessment
Assessed by a one hour online multiple-choice exam that you can take at any point during your studies.
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