A. Conduct & Culture: Inside the Regulator’s Mind - Designing High-Impact Conduct & Culture Change : 16 April 2026 9.30-12.45 Live

The FCA regulates Conduct, but it doesn’t officially regulate Culture. However, there can be no doubt that both are firmly on the regulator’s agenda:

·         in 2026, work on culture and non-financial misconduct will mean the extension of rules about bullying and harassment to 37,000 firms, whilst the SMCR regime is revamped, and

·         the number of whistleblowing reports and allegations made to the FCA continues to increase, year on year.

Together with high-profile events which continue to make the wrong kind of headlines, this shows how it’s now more important than ever for a firm to:

·         understand the values its people adopt, both individually and collectively,

·         pay attention to the impact this can have on risk, and

·         take appropriate action where needed.

Through a series of practical steps, the objective of this workshop is to equip delegates with an approach that will enable them to better understand Conduct & Culture in their business, enhance the measurement tools available, advance the internal agenda, and design an action plan to meet strategic aims. In turn this will improve the perceptions of relevant stakeholders.

B. Audit and Monitoring in Financial Services: Organising and delivering your programme : 21 May 2026 9.30-12.45 Live

Firms are required to establish robust governance arrangements, and systems and controls that are appropriate to the nature, scale and complexity of their business. This includes arrangements for Compliance, Internal Audit, and Risk Management.

Within this, the FCA requires firms to consider what arrangements they have in place for risk-based Compliance Monitoring. The Audit and Compliance Monitoring programmes, and their outputs, are actively monitored by the FCA, to help inform their regulatory judgements.

Through a series of practical steps, the objective of this workshop, rated 4.7 / 5 by past attendees*, is to equip delegates with an approach that will enable them to design and deliver their own programme, one that can assess how well their governance, and systems and controls ensure that:

·         clients are receiving good outcomes,

·         risks are being managed effectively, and

·         regulatory and policy requirements are being met.

To find out more please click on “Introduction and briefing” below.

* independently collated feedback from prior attendees (last delivered 29 January 2026). Delegate comment: “The course was informative and the presenter was very knowledgeable. For someone like myself who is new to the role I found this really easy to follow and understand.”