Professional Ethics: Ethical Decision-Making for Compliance Professionals
May 17, 2011
3:05 PM – 5:05 PM ET
Description: You have your Code and have applied the Rule, now what? Moving beyond the code, how do you address ethical dilemmas in your firm? This intermediate level ethics workshop utilizes scenario-based training and group discussion to engage attendees in analyzing and responding to real-world ethical issues confronted by compliance professionals and the various members of the firm.
- Recognize the nature and source of ethical dilemmas and conflicts of Interest
- Address ethics as it applies to the roles within the organization
- Use scenario-based training to learn the language of ethics and how to communicate it within the organization
- Develop techniques for identifying ethical situations and methods for mitigating ethical risk
For Whom: Ethics Officers, Chief Compliance Officers, Compliance Staff at all levels, Management, Legal Counsel, Compliance Staff charged with Code of Ethics responsibilities
Suggested Skill Level: Intermediate
Instructional Method: Group-Internet-Based and Group Live
Pre-requisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940, especially Sections 204A and 205, and Rules 204-3 and 204A-1, to become familiar with the structure and terms.
Continuing Education Credits:
See NRS Continuing Education Guide
Recommended CPE Credit: 2
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