Category: Live Online | In-Person Courses

Culture and Conduct: Understanding and Developing Your Approach

Enhance your understanding of Conduct & Culture!

£474.00

✔️ If you’d like to be invoiced for this course and pay via bank transfer, please send your company details and the name of the course you’re interested in to info@lgca.uk, and an invoice will be issued.

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.

The FCA’s Q4 2024 publication of the Culture and non-financial misconduct survey and July 2025 Consultation Paper again highlight how important it is for all firms to understand their Conduct & Culture and act upon signals that could, if unchecked, ultimately affect their people, their clients and the firm’s prosperity.

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

More Information

Who Should Attend

The programme is ideal for those who are new to the topic, those who wish to develop their understanding and capabilities, and those who have specific development needs. This will include:

Audit, Risk and Compliance Specialists
Human Resources Professionals
C-Level Executives and Senior Managers, particularly those with personal responsibility for Conduct & Culture in their organisation
Non-Executive Directors
External Auditors and Financial Services Consultants
Those working in dual (PRA and FCA) or solo-regulated (FCA) firms

1a. Introductions
• Introductions
• Course Expectations
• Terminology: Conduct & Culture
• Your firm’s approach

1b. Refresher and Regulatory Insight
• Why is it important?
• FCA Handbook : Conduct Expectations
• FCA Conduct Assessment
• FCA Cultural assessment

2a. How to understand your Conduct & Culture
Developing an assessment approach – Overview
• Project options
• Project Advance : Phases 1-4
• Governance and stakeholder engagement

2b. Project Advance
Phase 1 – Identify conduct across the business
• Quantitative and Qualitative Indicators
• Management Information, Documentation and untapped sources
• Client, Colleague and Management
• Surveys, and how to ensure their usefulness
• The People, and how to draw out cultural perceptions
• Approach to sampling

2c. Project Advance
Phase 2 – Compare to desired conduct
• Guarding against bias
• Discussion, challenge and debate, and the process to determine outputs
• Validation, judgements and presenting the outcomes

2d. Project Advance
Phase 3 – Develop an improvement plan
• Target Culture
• Principles for development
• FCA considerations

2e. Project Advance
Phase 4 – Implementation: Create an even better Environment
• Reporting and the Culture agenda
• Conduct & Culture Committee, Sponsorship and FCA engagement
• Understanding the outcomes of your project
• How to determine success

3. Questions and Wrap-up
Understanding your firm
• Questions
• Your next steps
• Participant reflections

Industry Expert | Paul Whitehouse

Paul is a Solicitor and Financial Services Regulatory Adviser with more than 30 years’ experience. He is an expert in assessing the suitability and effectiveness of a firm’s governance, systems, controls and strategy, and helps to deliver lasting change to a business through detailed understanding and effective engagement.

Paul has deep experience of the regulatory environment and has seen into the heart of 100s of businesses, from the smallest to the largest, having worked in front line supervision at the Financial Conduct Authority, and the world’s largest insurance broker. During his career, Paul developed particular skills in identifying cultural aspects of an organisation, how its people come together to deliver the product, and what can hold them back. This has involved investigations into highly sensitive people matters relating to culture, such as DEI and whistleblowing.

His career in the legal industry also means that he understands supply-side client relationship management, budgeting, revenue and operational dynamics. Paul is passionate about customers, and business performing at its best through its people. He strongly believes that robust business practices and doing the right thing for customers can co-exist alongside commercial objectives.

What People Say About LGCA

Charles Woodsmith | Assistant Compliance Officer

AGRC’s certificate in compliance helped me advance my career in the field of compliance by teaching me the ins and outs of the sector, the challenges I may face in the future, and the skills I need to overcome them and help my company remain compliant in a heavily regulated world.

Amanda Lee | Junior Compliance Officer

Compliance and its role in the financial world have never been easier to understand than with AGRC’s certificate programmes. The course was clear, comprehensive and practical, and provided me with the tools and skills I needed to further my career in compliance. I highly recommend these certifications and courses!

Cindy Marshall | Onboarding Officer

This certification is precisely what I was looking for. Since I work remotely, the best option for me was a self-paced, e-learning course that I could do and complete at my own convenience and at random hours of the day. AGRC’s training offered exactly that, plus a lot more. I delved deep into the world of compliance, gaining a thorough understanding of the industry and what it takes to succeed as a compliance officer. Thank you AGRC!

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AGRC makes compliance super interesting and simple to grasp. Their self-paced, online learning offerings are captivating and have prepared me to take the plunge and become a full-time compliance professional.