Regulators are increasingly interested in why you, as an employee, behave the way that you do in the workplace. Behavioural risk expert Roger Miles explores this growing body of regulation - particularly how your brain makes decisions, and how this impacts your conduct.

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13 video modules • 2 hours 34 minutes

  • What is Conduct Regulation?

    Roger answers some of the key introductory questions surrounding conduct regulation: What is it? Why do you need to know about it? What can you do now?

    Roger Miles07:02

  • Global Conduct Regulation

    Roger describes conduct regulation around the world by listing some examples of regulators and their individual approaches to protecting customer interests.

    Roger Miles09:02

  • Behaviorial Science Foundation of Conduct Regulation

    The history of regulation is built on the idea that if people listen to instructions with their rational brain, they’ll behave better. Meanwhile, in reality, people are using their animal brains to make decisions. In this video, Roger explains concepts featured in behavioural science and why regulators are using this field to inform policy decisions.

    Roger Miles13:29

  • Introduction to Bias Effects

    Conduct regulators are interested in why you behave the way you do. How your brain makes decisions largely dictates how you behave. As a result, it is beneficial to be aware of when we make decisions based on biases rather than rational judgements. In this video, Roger outlines some of the biases that impact decisions, namely: loss aversion, present bias, affect, overconfidence, projection and selective attention.

    Roger Miles11:46

  • The UK FCA's Original 5 Conduct Questions

    Regulators are serious about checking on how you behave at work. As a result, they will likely come and meet you, at your workplace, to ask a set of conduct questions to assess how you behave towards your colleagues and customers. Roger lists the five basic conduct questions that the British regulator uses, and unpackages the technical jargon, to prepare you for your next conduct inspector visit.

    Roger Miles20:51

  • Additional Bias Effects

    In this video, Roger expands on his video "Bias Effects" by covering more biases including confirmation bias, availability bias, hysteresis, social proof and delusion.

    Roger Miles17:11

  • Groupthink and its Associated Bias Effects

    Roger provides a detailed explanation on the biggest, but most misunderstood, bias effect: groupthink. He explains the factors driving groupthink and some specific examples that can harm businesses if ignored.

    Roger Miles09:46

  • 4 Bias Effects of Most Focus at Global Conduct Regulators

    As a follow-up to Roger's previous video on groupthink, he describes some related biases: anchoring, conformity, bystanding, expert bias and risky shift. Roger also discloses the biases most relevant to regulators and some biases that can impact your daily decisions.

    Roger Miles15:54

  • What Does a Conduct Regulator Consider to be Misconduct?

    In this video, Roger identifies the clear impacts associated with not risk-managing misconduct, and then inverts these same group of risks to build capital value and resilience within your business.

    Roger Miles10:49

  • Conduct Measurement Indicators and Conduct Reporting

    Roger identifies useful ways of gathering conduct MI through simple practical changes. For example, increasing conduct conversations by arranging more team meetings, and recognising and solving a bystanding culture. If cognitive diversity and psychological safety exist in the workplace, you will keep your best staff; spot problems sooner; and have more loyal, better quality clients.

    Roger Miles07:11

  • Unconscious Bias and Cognitive Diversity

    To conclude this series, Roger explains the importance of psychological safety, cognitive diversity and dealing with unconscious bias in promoting a healthier work environment, and increasing efficiency within your business.

    Roger Miles11:54

  • Importance of Culture in Conduct

    Regulators around the world are continuously driving culture improvements, this has only grown in significance since the changes caused by the COVID-19 pandemic. In this video, Roger will discuss a few of the signs indicating the shift towards a culture focus, and also discuss how a firm's purpose may have changed during the pandemic.

    Roger Miles09:22

  • The UK FCA's 6th Conduct 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

    Roger Miles09:51

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