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London, Europe, EMEA Time Zones
CPEs: 32
Instructor: Dennis Cox
Level: Intermediate
Tuition: £2,495.00
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NEW Auditing Ethics, Culture, Conduct and Reputational Risk in Banks IA089

Location: London, Europe, EMEA Time Zones

First Date: Aug 9 -12 2021

Duration: 4 days/32 hours

Programme Director: Dennis Cox

All Dates & Locations
Venue Details

Experience the highly-interactive expert-led social learning through Virtual Classroom via Cisco WebEx from Risk Reward.

All our 2021 Virtual Classroom events feature shared (or discrete) live chat between delegates and the expert, participate in topical surveys, polling questions, group exercises and case studies for a tried -and- true engaging and gratifying learning experience

"[This earlier course had a] great impact in executing my duties as member of the Board of Directors of a finance/bank corporation."
Board Director, European Bank, Cyprus
Agenda Highlights

Session 1:  The roles of Ethics, Culture, Conduct and Reputational Risk

Session 2:  Compliance, Governance and Ethics

Session 3:  The Framework for Managing Ethics

Session 4:  Drivers of Ethical Behaviour

Session 5:  Ethical Dilemmas and Concerns

Session 6:  Auditing Culture within a Bank

Session 7:  Auditing the Role of HR in Implementing Bank Culture

Session 8:  Auditing Conduct Risk

Session 9:  Auditing Reputational Risk

Session 10:  The Audit Approach

"[From a previous course] Great insight into auditing the AML topic. Good explanation of the topics."
Audit Manager, VISA, South Africa
Overview

Poor standards of Corporate Governance and failure to adequately manage Compliance Risk failures have led in recent years to extensive criticism of financial services sector and to catastrophic problems. In the aftermath of such failures, both market and stakeholder expectations have increased significantly.

The review and re-assessment of a bank’s approach to this risk area can be challenging and has become an important initiative to be implemented alongside other, often competing, projects.  Governance and Compliance issues and best practise are within the scope of management – they must ensure that management approach these issues holistically and with consideration for overall enterprise impact.

A fragmented or uncoordinated approach is likely to lead to lack of clarity of purpose, increased costs and engaging over many months – usually the same senior management – in very similar projects.

In this course delegates gain from a consolidated approach to implementing structures that effectively deal with these issues. Bank internal auditors can be fully prepared and take on this important task to provide the stakeholders with the necessary assurance that they require.

 

"[From a similar, previous course] Good focus on the governance and risk management issues. "
Rothschild, UK
Who Should Attend

While this course is designed primarily for bank internal audit staff and management past delegates on similar courses include those from compliance, risk management and senior management staff as well as legal, operations, IT, HR, Big Six accounting firms and software vendors.

Additional Course Information

What Does It Cover?

The role of Corporate Governance and what does that mean for internal audit, the customer’s view – what do they need to know, how this relates to compliance and the objectives, benefits of a coordinated approach to all aspects of risk management, compliance and its responsibilities, how it relates to other parts of the business, compliance reporting lines, matrix management, the contents of an ethical framework, CISI ethical standards, ICAEW ethical standard, what they mean in practice, bank ethical statements and the impact on the business environment, Political misbehaviour, Anti-bribery and corruption, .Anti-money laundering, Insider-dealing, Links to risk management, Links to corporate reputation, when it goes wrong, Codes of Conduct, Conduct of business and facilitation payments,, Developing culture within an organisation, Tone at the top, Leadership and culture, Key organisational issues, Accounting controls, HR, Management and stakeholder expectations, Nature of Human Behaviours, Remuneration, Incentive structures and Conduct risk, developing the audits, sensitivities and problem areas for auditors and much more.

Learning Objectives

Delegates will gain specialist technical and behavioural knowledge, an understanding of the core components of corporate culture and an effective ethical framework including how to:

  • Appreciate the importance of ethics and culture to an organisation
  • Appreciate the ethical dilemmas likely to be faced in practice
  • Identify the key sources of conduct and reputational risks for your organization
  • What is ethical behaviour?
  • The drivers of culture and implementing appropriate frameworks
  • Understand the key drivers of reputational risk and how these are managed

Practical Group Case Studies will include What do these terms really mean to you and to your firm?  How does this impact your audit approach? Bank penalties and failure through ethical failure – what should the bank have done?  Could audit have helped? Lessons from real cases – what can we learn?

Expert-led, delegates will develop technical audit programmes as a group – a key course take-away – including the audit of governance and ethics embedding ethical behaviour within a bank, culture within your bank, the role of HR in implementing a bank culture, Conduct Risk, reputational risk management in a bank, and much more.

Social Learning & Methods

Highly interactive expert-led presentation, Q&A, group real-time in-depth case studies, audit writing programmes, and discussion supported by key principles and theory.

The virtual learning platform uses safe, industry preferred encrypted Cisco WebEx to optimize live face-to-face visual interaction, discrete chat, for polling and quizzes. (An invitation via email with access link is included for all participants.)

Registration

Sale

NEW Auditing Ethics, Culture, Conduct and Reputational Risk in Banks

Course Fee

Early Bird Discounts of 10% available by May 1, 2021

Course Fee (per person):
GBP £2,495.00 (+ UK VAT when applicable)

Number of delegates:

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