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Certificates
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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 Miles • 07:02
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 Miles • 09:02
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 Miles • 13:29
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 Miles • 11:46
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 Miles • 20:51
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 Miles • 17:11
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 Miles • 09:46
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 Miles • 15:54
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 Miles • 10:49
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 Miles • 07:11
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 Miles • 11:54
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 Miles • 09:22
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 Miles • 09:51
