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Managing Conduct Risk in Banking
  • Overview
  • Programme Outline
  • Methodology
  • Participant Profile
  • Trainer
  • Overview
    PROGRAMME DETAILS

    DATE

    8 March 2021

    TIME

    9.00am - 5.00pm

    TRAINING PLATFORM

    Zoom

    Conduct risk is broadly defined as any action of a financial institution or individual that leads to customer detriment or has an adverse effect on market stability.

    An emphasis on customer-centricity and cultural change can help avoid legal, regulatory and reputational risks while creating value for customers and shareholders. Organisations operating in the financial industry that adopt a comprehensive strategy to manage conduct risk can gain significant competitive advantage.

    This programme is designed to provide practical understanding of the key conduct risks facing financial service professionals and those working banking today and the tools to identify, measure and mitigate conduct risk to improve business performance.

    LEARNING LEVEL

    Intermediate

    PROGRAMME FEE

    MYR

    1,200*

    AICB MEMBER

    MYR

    1,500*

    NON AICB MEMBER

    *Subject to 6% Service Tax

  • Programme Outline
    LEARNING OBJECTIVES
    By the end of the programme, participants will be able to:

    • Describe what conduct risk means and why oversight is important.
    • Ensure high standards of customer service through fair treatment of customers; ultimately driving better outcomes.
    • Analyse an individual's ability to recognise roles and responsibilities in relation to regulatory activity.
    • Identify where conduct risk currently resides in an organisation.
    • Develop awareness of the impact of good culture on conduct risk in an organisation.
    PROGRAMME OUTLINE
    This online training workshop will be delivered in 3 modules (2.5 hours per module)

    Module 1:

    What is “conduct risk”

    Background and development
    • Key challenges and common failures
    • Penalties and enforcement actions

    Case Studies: Market abuse and manipulation

    Regulatory response and approach to conduct risk
    • Conduct risk
    • Treating customers fairly

    Exercise: What are the drivers of misconduct

    Module 2:

    Managing conduct risk
    • Culture
    • Corporate governance
    • Conflicts of interest
    • Sales practices
    • External economic factors and competitors
    • Technological influence

    Exercise - Approach to manage drivers of misconduct

    Module 3:

    Practical aspects of managing and monitoring conduct risk
    • Escalating risk issues
    • Identification, management and reduction of conduct risk
    • Monitoring and KPIs

    Future developments
    • Conduct risk and individual accountability
    • Digitisation challenges facing conduct risk and how to ensure digital conduct awareness in capital markets
    • Regtech; AI and Machine learning 
  • Methodology

    Online lecture, including presentations, case studies and discussions

    Technical Requirements:
    • Desktop, notebook or tablet with camera, speaker and microphone
    • Internet access
    • Conference platform/software: Zoom
  • Participant Profile

    Front-line staff, risk, compliance and internal audit personnel, specialist teams and anyone seeking to gain an understanding of conduct risk activity and how it can impact their business.

  • Trainer

    Cheah Wee Leong

    Director of Investment Banking Training, Asian Banking School

    Cheah Wee Leong is the Director of Investment Banking Training at the Asian Banking School and has more than 25 years’ experience working in the banking industry.

    He started his career at Citibank in 1993 before joining US management consultancy ¬rm Accenture in 1997. At Accenture, he was involved in managing large bank merger-integration, process re-engineering and transformation projects. He has worked in projects in various countries including Hong Kong, China, Singapore, Indonesia, Thailand, Mauritius and Saudi Arabia.

    In 2003, Wee Leong joined CIMB as its Head of Operational Risk Management and led the implementation of the bank’s operational risk management and Basel 2 –Operational Risk framework. Subsequently, he assumed various senior roles in Regional Transaction Banking, Corporate Banking, Treasury and Markets division, and Group CEO’s office at CIMB. His last role at CIMB was as Director, Group Strategy.

    Wee Leong holds a Bachelor of Business Administration from the U.S. and a Master of Business Administration (with Distinction) from the Anglia Ruskin University, United Kingdom. He obtained training from Citibank Asia Paci¬fic Banking Institute in Singapore in 1995. He is a certifi¬ed Chartered Banker.


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