Global

Banking conduct, regulation and prudential risk essentials

A ready-made course you customise for your organisation, with a live session deck and two surveys. You only add the 9 details that are specific to your organisation.

See the live deckSee the full outline
Try the coursePreview the survey
Length
40 min
Lessons
6 lessons
Frequency
At onboarding for risk and finance roles
Last reviewed
21 Oct 2026
Grey areas: which rule applies?
What would you do?

A sales target pushes a product that does not fit

Try it: this is one of 20 interactive activities in the course.

What's included

Three pieces that work together

Copy once, get everything. Learners prepare on their own, you answer questions live, and the surveys tell you what stuck.

Self-paced course

Short lessons with real workplace scenarios, not walls of text.

  • 6 lessons, about 40 minutes
  • Tabs, sorting activity, scenario, flashcards and quizzes

Live session deck

An AhaSlides presentation to run after the course, in person or online.

  • 10 slides
  • Quiz, word cloud, poll, scale slides
  • A closing slide for your contacts

Two surveys

Find out what landed, and whether people use it on the job.

  • Post-course feedback, about 2 minutes
  • 30-day check-in
  • Anonymous by default
  • Results feed your next refresher

Learning objectives

At the end of this course, learners can

Each objective and the lesson that covers it.

IDObjectiveSourceWhere it's covered
TO 163.0Achieve ≥ 80% on the final assessmentnoneWhole course
SO 163.1Describe the regulatory framework in outline and who supervises what + your infoExample: the regulatory structure of the customer's marketWhole course
SO 163.2Apply the principle of treating customers fairly in a decision or process + your infoExample: conduct and consumer-duty style rules in the customer's marketWhole course
SO 163.3Sort operational-risk events by category and name a control that would have helpedBest practiceWhole course
SO 163.4Explain market, liquidity and model risk in plain words and why they are monitored + your infoExample: prudential rules in the customer's marketWhole course
SO 163.5Report a breach or near-miss through the right route, early and without blameBest practiceWhole course

Your part: what a template can't do for you

  • Your workplace details: fill in the 9 highlighted fields so the course describes your own policies, contacts and locations.
  • Records: record completion in your own LMS or record system.

Course outline

6 lessons, about 40 minutes

Minutes per lesson are an estimate, shared out by page count.

ContentInteractiveVideoYou customise
1

Why conduct and risk matter

3 pages

7 min
Before you beginNoteList
A process changeTextImageChecklist
Three kinds of riskKey factFlashcardsQuiz
2

The framework and fair treatment

3 pages

7 min
Who supervises whatTabsNote
Fair treatment in five habitsFlashcards
CheckSorting activityMatching quiz
3

Operational, market and liquidity risk

3 pages

7 min
Operational risk categoriesAccordionText
Sort the eventsSorting activity
Market and liquidity in plain wordsTabsQuiz
4

Grey areas: which rule applies?

3 pages

7 min
ScenarioScenario
ScenarioScenarioQuiz
Which rule applies?Matching quizSorting activity
5

Report, speak up and apply

3 pages

7 min
Report earlyProcessYour infoYour info
Blame-free reportingTabsChecklist
ScenarioScenarioQuizButtonYour info
6

Final assessment

2 pages

5 min
PracticeQuiz
CompletionKey factListNoteButtonYour info

Live deck and surveys

10 slides to run live, two surveys to close the loop

Pink slides are interactive. Both surveys are anonymous; pink questions are written for this course.

ContentTitle, agenda, "good outcomes for customers come first" (speaker notes: template page URL)
Word cloudOne word for good conduct
PollWhich risk worries you most? (Conduct · Operational · Market · Liquidity)
ContentThe four risk families and the fair-treatment habits
QuizA target conflicts with a conduct rule. You…" (Follow the rule and raise the conflict ✔ · Follow the target · Decide quietly · Do nothing)
QuizA near-miss is…" (An event that could have caused harm but did not ✔ · A small loss · A complaint · A late report)
Content · customiseCustomise: our regulators, policy library and reporting route" with {{JURISDICTION_AND_REGULATOR}}, {{POLICY_LINK}}, {{SPEAK_UP_ROUTE}}
ScaleHow confident are you reporting a near-miss?" 1 to 5
Open-ended / Q&AA conduct question I would like to talk through
Content · customiseClosing {{COMPLIANCE_CONTACT}}, {{SURVEY_2_URL}}, {{COURSE_URL}}
Post-course feedback: 11 questions, about 2 min
  1. Overall rating 5 stars
  2. Relevant, realistic, right length, helpful activities agree/disagree grid
  3. What was most useful? multi-select
  4. Confidence before this course, and now 1-5 scale
  5. How confident are you sorting risk events and naming a control? 1-5 scale
  6. Which change have you tried in your work? multiple choice
  7. What barrier have you met in trying it? short text
  8. I can report a near-miss without fear of blame. 1-5 scale
  9. One thing we should change or add open text
  10. Would you recommend this course? NPS
30-day check-in
  1. Have you used what you learned since the course? multiple choice
  2. How confident are you today? Compare with day 1 1-5 scale
  3. Do you know where to find the conduct and risk policy? yes / no / not sure
  4. A moment where the training helped, or where you weren't sure open text
  5. Which topics should the next refresher focus on? ranking

Results show whether people use the training on the job, not just whether they finished it.

Make it yours

9 fields to fill in, and you're ready

Everything else is done. These are the details only your organisation knows; each one is highlighted inside the course.

  • Compliance contact{{COMPLIANCE_CONTACT}}
  • Policy link{{POLICY_LINK}}
  • Speak up route{{SPEAK_UP_ROUTE}}
  • Jurisdiction and regulator{{JURISDICTION_AND_REGULATOR}}
  • LMS or record system{{LMS_OR_RECORD_SYSTEM}}
  • Survey 1 URL{{SURVEY_1_URL}}
Show all 9 fields
  • Survey 2 URL{{SURVEY_2_URL}}
  • Course URL{{COURSE_URL}}
  • Live session URL{{LIVE_SESSION_URL}}

FAQ

Common questions

Can I run banking conduct, regulation and prudential risk essentials training online?

The course itself is self-paced and online, and the live deck lets you add a live session. Whether online delivery meets your local rules depends on the law that applies to you, so check the rules that apply to you or ask your own counsel.

How often is this training needed?

At onboarding for risk and finance roles, and yearly for risk champions.

Who needs this training?

Compliance and risk champions, first-line managers and new joiners in risk and finance functions; run by the learning or compliance owner.

What records should I keep?

Record completion in your own LMS or record system, so you can show who finished the course and when. Check the retention period that applies to you in the rules that apply to you.

Can I edit the content?

Yes, everything. Change the wording, swap scenarios for ones from your workplace, add your logo, or remove parts that don't apply. Keep anything your own law requires you to cover.

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Ready to run it?

Open the live deck to see how the session runs alongside the course and both surveys.

See the live deck