Case Study - FCA Regulated Firms

Conduct risk

There is a clear realisation of why changes have been necessary and how and why firms have changed their business operating models.

Challenge A number of firms attended DSW’s Chartered Insurance Institute (CII) accredited conduct risk programme, to help staff at all levels understand the Financial Conduct Authority’s (FCA) principles of conduct risk, key areas of regulation and how to evidence compliance and fair outcomes for customers. Solution DSW delivered the conduct risk programme as a piece of blended learning, which was tailored to reflect the specific needs and requirements of each organisation. We worked with stakeholders to identify real case studies and business issues which could be used within the content of the programme to show real-world application of the principles of conduct risk. Outcomes Delegate feedback across all sectors was extremely positive, with those attending the programme reporting a better understanding of FCA regulation and how the key principles support the wider industry.