Conduct Risk Policy (UK) by Study Academy
Updated 29 November 2025
Conduct Risk Policy outlines a risk-based framework to prevent harmful behaviours including conflicts of interest, misrepresentation, and abuse of authority. Developed by the Study Academy's Compliance & Governance team, specialists in UK regulatory and workplace-culture training.
Conduct Risk Policy (UK, 2025 Edition)
Purpose
This Policy establishes the organisation’s framework for identifying, assessing, managing and mitigating conduct risk, being the risk that staff behaviour or business practices result in poor outcomes for customers, counterparties, employees or the market.
Scope
Applies to all business activities, product development, sales and marketing, procurement, and senior management decision-making.
Policy Statement
The organisation will conduct its business with integrity, due skill, care and diligence. Staff must act ethically and must not engage in conflicts of interest, misrepresentation, abuse of authority or any conduct that could harm customers or the organisation’s reputation.
Conduct Risk Principles
Treat customers fairly and with respect.
Communicate clearly and transparently.
Avoid, manage or disclose conflicts of interest.
Escalate conduct issues promptly.
Maintain accurate records of advice, decisions and customer interactions.
Legislative and Regulatory Framework
Companies Act 2006 (directors’ duties)
Bribery Act 2010
Equality Act 2010
Data Protection Act 2018 and UK GDPR
Health and Safety at Work etc. Act 1974
Roles and Responsibilities
The Board is accountable for setting the tone from the top on ethical conduct and culture.
Managers must ensure that performance incentives do not encourage poor conduct.
Staff must report misconduct or wrongdoing under the Whistleblowing Policy.
Monitoring and Reporting
Conduct MI (management information) shall be collected, including complaints, errors, near misses, disciplinary actions and training completion.
Serious conduct breaches shall be reported to the Board.
Training
All staff shall receive conduct and ethics training on induction and annually thereafter.
About this template
What is this template?
Conduct Risk Policy (UK) by Study Academy is a free, ready-to-use Policies template you can open, customize, and download on GitLaw. It gives you a professionally structured starting point, so you never have to draft from a blank page. The wording is plain and modern, organized into clear sections that are easy to read, edit, and adapt to your own situation before you share or sign it.
When should you use it?
Reach for this Policies template whenever you need a reliable agreement quickly and want to be sure the essentials are covered. It suits individuals, freelancers, startups, and established businesses alike. Instead of paying for a document drafted from scratch, you can start here, tailor the details to your arrangement, and have a polished draft ready in minutes. This version is drafted with England & Wales in mind, though you should always review the final wording against the laws that apply to you.
What's typically included?
A well-drafted Policies usually sets out the parties involved, the scope of the agreement, and each side's rights and responsibilities. Expect sections covering key terms and definitions, how long the agreement lasts, how it can be ended, and what happens if something goes wrong. This template brings those building blocks together in a sensible order, so you can focus on the specifics rather than worrying about what to include. Open it to read the full document, then sign up to edit, negotiate, and e-sign it directly in GitLaw.