Professional Ethics: Ethical Decision-Making for Compliance Professionals
October 9, 2013
Wendsday 1:30 PM - 3:30 PM (PT)
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 advanced-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.
After attending this course, attendees should be able to:
- 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
- Examine conflicting goals, rethink frozen positions, and appreciate opposing arguments
For Whom: Ethics Officers and Compliance Staff charged with Codes of Ethics responsibilities, All levels of Compliance Professionals, All levels of Management, Legal Counsel
Pre-requisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940 to become familiar with the structure and terms.
Advance Preparation: None
Order this Desktop on Demand