Past Event Details


Kathlyn L. Farrell to Moderate ABA Briefing "Conduct Risk: Sales and Beyond"

Date: Wednesday, October 10, 2018
Time: 2:00 PM - 4:00 PM
ABA Webinar
Topic: Conduct Risk: Sales and Beyond

Bank employee misconduct cannot only result in costly fines and damage to the bank's reputation, it also causes consumer and employee harm, erodes the market's confidence and trust in the bank, depletes capital, and decreases the bank's resiliency. While sales practices and employee compensation are currently a top focus, conduct risk is not limited to that topic.

You will receive guidance on managing conduct risk, including sales practices and employee compensation risk. Get your questions answered.

This briefing will focus on:
  • Governance and oversight
  • Policies and procedures
  • Establishment of communications standards
  • Detection and monitoring
  • Staff engagement
  • Risk identification
  • People management
  • Investigation, evaluation, and escalation of problems
  • Measuring and reporting effectiveness
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