Conduct Risk in the Spotlight: Mitigating Risk, Adapting to Regulatory Expectations

Join us for a seminar on Conduct Risk expectations in the Financial Services sector, where industry experts will delve into the critical aspects of managing conduct risk. Gain valuable insights into regulatory expectations, best practices, and the latest developments in conduct risk management, including on enforcement action from the FCA and subsequent lessons learned. 

Laura Scarpa will be joining us to share her insights into Conduct Risk and Fair value. Laura is a Partner in Deloitte LLP’s Regulatory Assurance Practice with a focus on supporting firms in navigating emerging regulatory issues. Laura supports both FS firms and UK regulators through regulatory change including Consumer Duty over the last few years.

Arianne Costa is the Regulatory Assurance lead for the Gibraltar team, specialising in risk & regulation in Gibraltar. Arianne supports Gibraltar financial services businesses with a range of regulatory work including internal audit, financial crime, risk & regulatory reviews.

Arianne has extensive experience of working closely with Compliance Teams, supporting the review and appropriate implementation of regulatory expectations in her role as internal auditor for large Gibraltar based FS firms.

Topic deep dives:

Conduct Risk Framework and Governance: We will dive into how FS businesses can establish an effective conduct risk framework, the roles and responsibilities of senior management and the board, and how a conduct culture and relevant controls should be embedded into your business.

Product Governance and Fair Value Assessments: We will be sharing in-depth knowledge and practical insights into product governance rules and fair value assessments in light of the growing expectations on FS firms. Navigating the intricacies of fair value assessments and the impact on conduct risk, she will share best practice and insights into how firms can best document their assessments. 

Conduct risk through the lens of Sustainability: Our final session will focus on the explicit links between conduct risk management and business sustainability. Our team will help you articulate why ESG and wider Sustainability issues go hand in hand with Conduct risk and need to be considered on your Board agenda.

Date: 25th June 2024
Venue: Yacht Hotel Sunborn, Gibraltar
Time: 9.30hrs - 12.30hrs
Course fees: GBP 35 GACO Members; GBP 50 Non-Members

Important: Coffees & Pastries will be served from 9.00am and there will be a coffee break at around 11.00am!