This course explores the critical relationship between conduct risk, regulatory compliance, and fair customer outcomes within financial services. Learners will examine how to identify conduct-risk drivers across the customer journey using the six Treating Customers Fairly (TCF) outcomes, while applying current FAIS requirements regarding fair dealing, conflicts of interest, and suitability.
 
The curriculum also equips financial advisers and key individuals to recognize vulnerability factors, spot early signs of potential customer harm, and implement a practical conduct-risk cycle using effective governance, controls, and management information.

This course will be available for completion from 27 July 2026 to 26 July 2027.
 
This course value is 1.5 CPD point