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Banking Essentials - Part I

This pathway will walk us through the basics of banks, starting with some of the different types and their main functions, then starting to look at the regulation faced by the banks, both before and after the Global Financial Crisis.

Greenwashing

Greenwashing is the act of distributing false information about something being more environmentally friendly than it actually is.

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Tackling the Cost of Living Crisis

In this video, Max discusses the cost-of-living crisis currently enveloping the UK. He examines its impact on households as well as the overall economy.

CSR and Sustainability in Financial Services

In the first video of this two-part video series, Elisa introduces us to sustainability. She begins by looking at the difference between sustainability and corporate social responsibility, two terms that can be easily confused.

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Featured Pathways

More pathways

Banking Essentials - Part I

This pathway will walk us through the basics of banks, starting with some of the different types and their main functions, then starting to look at the regulation faced by the banks, both before and after the Global Financial Crisis.

Greenwashing

Greenwashing is the act of distributing false information about something being more environmentally friendly than it actually is.

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Pricing

Ready to get started?

Plans & Membership

Our Platform

Expert led content

+1,000 expert presented, on-demand video modules

Learning analytics

Keep track of learning progress with our comprehensive data

Interactive learning

Engage with our video hotspots and knowledge check-ins

Testing & certification

Gain CPD / CPE credits and professional certification

Managed learning

Build, scale and manage your organisation’s learning

Integrations

Connect Finance Unlocked to your current platform

Featured Content

More featured content

Tackling the Cost of Living Crisis

In this video, Max discusses the cost-of-living crisis currently enveloping the UK. He examines its impact on households as well as the overall economy.

CSR and Sustainability in Financial Services

In the first video of this two-part video series, Elisa introduces us to sustainability. She begins by looking at the difference between sustainability and corporate social responsibility, two terms that can be easily confused.

More featured content

Book a demo

Pricing

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The UK FCA's 6th Conduct Question

The UK FCA's 6th Conduct Question

Roger Miles

25 years: Behavoural science & conduct

We discussed the FCA’s 5 conduct questions in an earlier video. Given the change of stance at the regulator a 6th question is being introduced that will focus on purposeful culture, diversity and inclusion. Join Roger as he discusses how we got to this point and as he unveils the question

We discussed the FCA’s 5 conduct questions in an earlier video. Given the change of stance at the regulator a 6th question is being introduced that will focus on purposeful culture, diversity and inclusion. Join Roger as he discusses how we got to this point and as he unveils the question

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The UK FCA's 6th Conduct Question

9 mins 52 secs

Overview

Regulators globally are now looking for evidence that a firm has a culture where everyone feels safe to “speak up”. The direction of conduct and culture controls had started to shift even before the pandemic threw firms into strange new ways of working. With better governance guidelines now aligning with the best new practices, there's a positive outlook for conduct-regulated firms.

Key learning objectives:

  • Identify what the regulators mean by ‘diverse and inclusive’

  • Understand the governance themes that the regulators are interested in

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Summary

What do regulators mean by diverse and inclusive?

Regulators mean they’re looking for 

  • Evidence that each firm has a culture where everyone feels free to “speak up”
  • Staffs feeling ok to start a conversation with any colleague, based on the conduct questions

What defines a purposeful firm?

  • Having a purpose beyond just making money
  • Having a healthy culture that’s diverse, safe and inclusive
  • Diversifying risks and providing affordable financial support by advancing credit
  • Sustainable custodianship and stewardship of assets
  • Channelling and guiding the investment and funding with which our economy is built
  • Vital infrastructure, facilitating each economic transaction through the payments system
  • Delivering long-term sustainable benefits for employees, consumers and shareholders
  • Supporting markets, and mediating between savers and borrowers

What are the simplified conduct questions to start a conversation amongst the team?

1. What do I do to check no-one’s behaving badly in our business?

2. How do we encourage each employee to feel and be responsible for good conduct?

3. How does my firm give each employee support, to help drive out bad behaviour?

4. How do our senior managers oversee conduct and consider consequences of their decisions?

5. Am I happy to call out anything I see that undermines our efforts for good conduct?

6. How can we include a wider range of ideas and experiences around the table?

 

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Roger Miles

Roger Miles

Roger researches behavioural risks in organisations, and advises senior leaders on how best to communicate risk and conduct matters. Previously, Roger ran risk communication programmes for professional bodies and the British Government. He now runs industry-level Academies for Conduct and Culture, and produces workshops with financial firms.

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