FCA Conduct Risk (UK)
Duration10'
No. of mini-lessons4
ResourcesInfographic
Duration 10'
No. of mini-lessons 4
Resources Infographic
Course overview
Of course, we would like to think that everyone always behaves in a way that reflects a strong code of ethics. But unfortunately, this isn’t always the case. Factors like unconscious bias or conflicts of interest can cloud how we behave and make decisions. And when your employees are working with a customer’s finances, their conduct directly affects them and their financial security. It can also impact the company’s reputation and, in some cases, harm the wider economy.
To avoid exposing their customers to conduct risks, your employees need a solid understanding of these risks in the financial markets. They also need to know what drives those risks and how to avoid them to protect their customers’ best interests. The Financial Conduct Authority, also known as the FCA, exists to make sure that financial markets are honest, competitive, and fair. Understanding their 3 statutory objectives will help employees contribute to a safe and professional culture within their industry and the company they work for.
What's covered
Definition of conduct risk in financial markets
The 3 statutory objectives of the FCA
Key drivers of conduct risk and how to manage them
Why your teams need this course
This course is a must for anyone in finance and managerial positions who needs to understand and follow the FCA’s 3 statutory objectives. During this course, they’ll not only learn what these objectives are but also why they’re so important. It’ll define conduct risk and identify what drives it, so they can make sure their customers aren’t impacted.
