There is wide acknowledgement that the lack of accountability and poor professional conducts were some of the root causes of the Global Financial Crisis in 2007/08. In the decade since that crisis, the global financial industry continues to be plagued by cases of ethical failure. Market conduct regulators globally have hence stepped up their focus on potential malpractices that could cause investor harm. This course will highlight the regulatory risks focus that regulator is putting on the appointed representatives.

• The importance of accountability in a financial institution
• The importance of achieving good customer outcomes from good professional conduct
• The risk associated with poor professional conduct
• Carrying out the responsible professional conduct
• The consequences of non-compliance

Module 1: The Importance of Accountability in a Financial Institution

Module 2: The Importance of Good Customer Outcome

Module 3: The Risk Associated with Poor Professional Conduct

Module 4: Carrying Out Responsible Professional Conduct

Module 5: Consequences of Non-Compliance