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Treating Customers Fairly & Conduct Risk Course

Treating Customers Fairly & Conduct Risk Course

TCF CR treating customers fairly course conduct risk

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What Makes Compliance Consultant Courses Different

We have been delivering training for over 20 years and this is one of our core competencies. We believe we are experts on this topic and having delivered training to a wide range of firms and businesses, we are certain we know the topic as well as anyone in the market place.

We have written a book on “Conduct Risk and what happens when it goes wrong”, available on Amazon
TCF and Conduct Risk is the stuff of myths and misunderstanding with no direct reflection on real life: we will show you everyday workplace examples or situations.

Conduct Risk Check List Template
Click on the picture above to download

Your course director is a highly successful, qualified and experienced executive who will pass on past experiences and “war stories” generally to enhance the workshop and help bring it to life.

We do not use academics. All our trainers are highly experienced professionals with relevant qualifications and vocational experience in the real world.

We have delivered many core governance, risk and compliance courses over recent years and have a very clear understanding of what good and bad look like and the consequences, intended or not, of poor decision making.

We have developed highly interactive and very enjoyable case studies to enhance the learning points. All delegates report that these are a high point.

We are always judged by our results which speak for themselves and the feedback received from previous delegates has always been excellent.

Course Objectives

How to put customers’ best interests first

How to use the six consumer outcomes to ensure customers are treated fairly

What tasks should be carried out when customers are treated fairly

How to use management information to ensure you are treating customers fairly

Who would benefit

Employees working in the Financial Services Industry who are at risk of damaging by inadvertently mis-selling customer policies, writing/publishing misleading policies and ineffective complaints handling procedures.

Course Content
Session 1
  • What is meant by “conduct risk”?
  • The regulatory framework and approach to conduct risk
  • Business models and governance of conduct risk
  • Conduct risk and “Treating Customers Fairly”
  • Tangible elements of conduct risk: product design, distribution and organisational infrastructure
  • Practical aspects of managing `and monitoring conduct risk
Session 2
  • 5 Conduct Related Questions To Ask
  • Do you have the ‘right’ organisational culture?
  • Are you measuring and monitoring culture effectively?
  • How can you effect cultural changes?
  • Who will benefit?
Session 3

  • Behavioural aspects of conduct risk: leadership, conflicts of interest, people risk and organisational culture
  • Case Study. Assessing TCF strategy and policy: robust, appropriate and aligned with Conduct Risk?
Session 4
  • Culture and fair treatment of customers: drivers and indicators
  • Dusting off and re-running your TCF gap analysis with reference to Conduct Risk
  • The FCA’s expectations of senior executives
  • The management Information that demonstrates your fairness at the heart of the business and commitment to achieving and evidencing good consumer outcomes.
  • Forthcoming developments: SMCR & Conduct Risk and individual accountability
Your Course Facilitator Backstory
Lee has worked with a range of organisations from small start-ups through to FTSE100 companies, many that have had difficulties identifying and managing conflicts of interests, and helped them develop effective, robust systems. He has adapted his experience to develop this course and supporting materials with the practical skills-based focus. Lee’s skills, qualifications and experience make him ideal for supporting anyone wishing to develop top-class knowledge in the management of TCF & Conduct Risk.
He has written a book on “Conduct Risk and what happens when it goes wrong”, available on Amazon.
Having been a freelance consultant and trainer for twenty years, your course director was appointed as a skilled person in 2012 and has conducted many audits, assessments, roll-outs and change management programmes from complaints programs, conduct risk frameworks, global risk frameworks, as well as having provided regulatory interpretation to investment banks, worked on many risk mitigation programs and set up banks.

He is also a highly experienced soft skills trainer and has completed numerous “train the trainer” assignments.

Conduct Risk Check List Template
Click The Picture above to Download

Online Courses you may be interested in

SMCR For Limited & Core Firms – Click on this link =>

Digital Onboarding for Fintech Firms – Click on this link =>

Need a Compliance Manual? Our Top-selling Template is available HERE

Need an AML & CTF Policy and procedures template? Our Top-selling Template is available HEREaml template fca mlr2017


This Course Can Be Presented In The Following Formats:
Public Course

Future Dates Not Yet Available

Face to Face In-House

This course can be tailored and presented in-house at your location for 3 or more participants.

From £850

Live In-House Webinar
This course can be tailored and presented exclusively via live webinar for your company for a group of participants. Participants are given a link and login and the trainer presents the course to a maximum of 20 participants.
Participants can login from different offices.
From £850
Pre-Recorded In-House Webinar
The trainer records the course exclusively for your company – in one session or in “bite-size” video files. We provide access to our Proprietary Online System, the whole course as a pdf and any supporting course materials for an agreed amount of time (6 or 12 months) for any number of participants up to 5,000.
From £3,000

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