March 13, New York

WORKSHOP 2: Conduct risk- Fixing the systems

PROGRAM

8:30 Registration & breakfast

9:00 Evolution of conduct risk

  • What is conduct risk?
  • Key Industry events which have significantly influenced the concept
  • How does conduct risk relate to Operational Risk?

Rajat Bajjal, ‎Head of Enterprise Risk, CANTOR FITZGERALD

10:00 Morning break and refreshments

10:30 Conduct Risk as a key part of a robust Operational Risk Framework

  • Conduct Risk and Control Self-Assessment (RCSA)
  • Customer Impact and Reputational Damage
  • Conduct Risk Event Management
  • Good conduct risk MI / KRIs

Rajat Bajjal, ‎Head of Enterprise Risk, CANTOR FITZGERALD

12:30 Lunch

1:30 Root Causes of conduct risk

  • Tone at the top
  • Culture
  • Conflicts of interest

Anne Searle, Lecturer, UNIVERSITY OF WASHINGTON

2:30 Afternoon break and refreshments

3:30 Cautionary tales

  • Wells Fargo
  • Washington Mutual

Anne Searle, Lecturer, UNIVERSITY OF WASHINGTON

4:00 End of workshop

 

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