Professional Refresher

Conduct Risk
Refreshed August 2022 | CPD time: 1
Conduct risk can be defined as the risk to the delivery of fair customer outcomes, or to market integrity. Conduct risk can be seen as a progression in regulatory thinking that began with treating customers fairly, and which then developed through principles-based regulation, and then on to outcomes-focused regulation, before becoming conduct risk. This module assesses what conduct risk is, how it is managed, its practical application, the powers of regulators, and the importance of treating customers fairly.
1. What is Conduct Risk?
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2. Managing Conduct Risk
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3. The Product Lifecycle
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4. Behavioural Aspects of Conduct Risk
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5. Implications of Demand-Side Weakness
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6. Market Structures and Conduct Risk
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Module Test
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