Conduct Risk and Behavioural Finance in Client Advisory

This innovative course explores the intersection of conduct risk management and behavioral finance principles in financial advisory practices. Participants will learn how cognitive biases and emotional factors influence client decision-making and how to manage conduct risks that arise in client interactions. The curriculum covers regulatory expectations for conduct risk, behavioral finance theories, and practical techniques for improving client outcomes through better advisory practices. Through case studies and interactive exercises, learners will develop the skills to identify and mitigate conduct risks while applying behavioral insights to enhance client relationships and advisory effectiveness.