Risk, Compliance and AMLConduct Risk and Market Abuse
Conduct failures rarely involve anybody deciding to do something wrong; they involve incentives, pressure and a definition of acceptable that drifted, which is why they are invisible on a control checklist. This course addresses that. Delegates work through conduct risk and its drivers including remuneration and target setting, customer outcomes and the point at which a sale becomes unsuitable, and conflicts of interest and their management. Market abuse is covered specifically: insider dealing, unlawful disclosure and manipulation, with the behaviours that constitute each. Surveillance, control room and information barrier arrangements follow. The course closes on culture measurement, on personal account dealing, and on investigating a suspected conduct breach.
Course objectives
- Identify conduct risk drivers including incentives and target setting
- Assess customer outcomes and recognise an unsuitable sale
- Manage conflicts of interest rather than merely disclose them
- Define insider dealing, unlawful disclosure and market manipulation
- Operate surveillance, control room and information barrier arrangements
- Govern personal account dealing
- Investigate a suspected conduct breach
Who should attend
- Compliance and conduct risk staff in financial services
- Front office supervisors and desk heads
- Internal audit and control staff
- Human resources staff designing incentives
- Regulators and supervisory personnel
Course outline
- 01Nobody decided to do anything wrong
- 02Conduct risk and its drivers
- 03Incentives, targets and pressure
- 04Customer outcomes and suitability
- 05Conflicts of interest
- 06Insider dealing and unlawful disclosure
- 07Market manipulation and surveillance
- 08Information barriers, personal dealing and investigation
Scheduled sessions
| Dates | Venue | Format | Price | Register |
|---|---|---|---|---|
| 25 to 27 November 2026 | Online | Online | R6,500 per delegate | Register Now |
| 28 to 30 December 2026 | Maputo, Mozambique | Classroom | USD 995 per delegate | Register Now |
| 3 to 5 March 2027 | Maseru, Lesotho | Classroom | R14,950 per delegate | Register Now |