Managing Conduct Risk in Financial Institutions

Managing Conduct Risk in Financial Institutions
Thought Leadership Webinar: Globally, there has been an increased focus on the manner in which financial institutions conduct their business, interact with customers, and perform financial product suitability assessments as part of selling process.  This webinar will cover key aspects of maintaining a robust Conduct Risk Framework including its essential components, implementation aspects and emerging challenges.

 

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Webinar Experts CRL Credits

 

Presented By:

Vivek Seth, MBA, PRM

Date:

March 27, 2019

Time:

10:00 a.m. - 11:00 a.m.

Session Length:

60 minutes




About This Webinar


Globally, there has been an increased focus on the manner in which financial institutions conduct their business, interact with customers, and perform financial product suitability assessments as part of selling process. Managing and mitigating conduct risk continues to be one of the highest regulatory priorities for financial institutions as both customers and regulators are paying a close attention on the behavior of firms. Good Conduct Risk practices are essential in maintaining long-term customer relationships, in meeting client’s satisfaction, and regulatory expectations.

This webinar covers:

  • Basics of Conduct Risk
  • Key processes requiring Conduct Risk oversight
  • Organizational behavior that could lead to poor conduct risk practices
  • Essential components of Conduct Risk Framework
  • Implementation aspects of a robust Conduct Risk Framework
  • Emerging challenges in managing Conduct Risk in Financial Institutions


About Our Expert

   Bio
     
 

Vivek Seth is a Singapore citizen, working in the Risk Management discipline in banking for about 15 years. Key areas of his work include managing Operational Risk, Investment Suitability, Regulatory Risk, Information Security, and Credit Risk.

Vivek's work experience extends across Singapore, Dubai, and Australia, along with business assignments carried out in Hong Kong and Switzerland. He holds an M.B.A. and also the PRM™ professional certification. He has also authored articles in PRMIA Intelligent Risk publications.


Continuing Risk Learning Credits: 1

PRMIA Continuing Risk Learning (CRL) programs provide you with the opportunity to formally recognize your professional development, documenting your evolution as a risk professional. Employers can see that you are not static, making you a highly valued, dynamic, and desirable employee. The CRL program is open to all Contributing, Sustaining, and Risk Leader members, providing a convenient and easily accessible way to submit, manage, track and document your activities online through the PRMIA CRL Center. To request CRL credits, please email webinars@prmia.org.

Registration
 Membership Type Price
 Sustaining, Corporate, and RIM Members $ FREE
 Contributing Member $ 35
 Non Member $ 75

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When
3/27/2019 10:00 AM - 11:00 AM
Where
Thought Leadership Webinar
 

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