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19th September
The Grange Tower Bridge Hotel,

Wholesale Conduct Risk in Financial Markets

Why You Should Attend

Hear from senior regulatory specialists at the compliance front line

Hear speakers from Compliance, Internal Audit and Regulatory Affairs;

  • Examine the future of conduct management, and how to utilise this for your business needs
  • Drill down on the current regulatory context and future priorities
  • Articulate best practice in corporate governance for conduct management
Examine the Practical Steps You Can Take to Ensure Conduct Compliance

Identify practical steps you can implement to monitor, manage, and mitigate conduct risk,including;

  • Expectations, experiences and lessons learned from the FCA’s annual conduct visit
  • Identifying 'conduct drivers' and how they can be leveraged for best results
  • Using employee incentives plans to drive improved behaviours 
Get to grips with the impact of established and incoming regulations on your conduct programme

Explore and identify;

  • How MiFID II has impacted conduct
  • The extension of the SM&CR: buy and sell side discuss their concerns
  • Practical effects of EU Market Abuse Regulation one year on

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