Professional Ethics: Ethical Decision Making for Compliance Professionals
October 15, 2015
Thursday 1:00 PM - 3:00 PM (ET)
How can compliance professionals take their firms beyond compliance and build a culture of ethical decision-making? This workshop is designed to engage compliance professionals in the challenge of building an ethical culture through the use of case studies and an ethical decision-making framework. This practical and interactive session will use real-life examples to explore ethical decision-making in situations that are familiar to compliance professionals.
After attending this course, attendees should be able to:
- Recognize unethical decisions and related actions including fraud and aiding and abetting
- Build strategies to investigate activities objectively and that allow you to operate transparently
- Address ethical “black holes” that might create legal, regulatory and reputation risk for you and your organization
- Review the regulatory framework that should shape your decision-making
- Gain insight into strategies for instilling and supporting a company-wide ethical culture of compliance
Designed to increase the professional competence of financial securities professionals with legal, compliance and management responsibilities
Suggested Skill Level: Intermediate
Instructional Method: Group Live and Group Internet - Based
Prerequisites for participation:
No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940, especially Rule 204A-1, to become familiar with the structure and terms.
Advance Preparation: None