Professional Ethics: Ethical Decision-Making for Compliance Professionals
10:00 AM – 12:00 PM
Wednesday, October 10
Advanced Ethics: This unique session is based upon that of the highly-acclaimed Fred Friendly series, developed at the Columbia Graduate School. Advanced Ethics translates ethical decision-making to explore the complexities of the investment industry.
A small group of panelists who represent a wide variety of perspectives will respond to questions posed to them by a moderator about a complex hypothetical situation involving real-world facts and tough ethical challenges. This process, known as the Socratic dialogue, compels participants to consider what they would do when presented with imperfect choices.
As panelists wrestle with the problem at hand, the unfolding storyline reveals all the aspects of complex issues, provides many layers of useful information, and illuminates the challenges of decision-making. By identifying the perceptions and decision-making processes of the panelists, this format enables them - and the audience - to better understand their positions and those of the other panelists. The format is not intended to change minds but to help you examine conflicting goals, rethink frozen positions, and to appreciate opposing arguments.
The roundtable will be followed by moderated break-out groups to discuss the scenarios and the choices made by the panelists, followed by a combined session to outline the practical take-aways for participants, for our firms, and for the industry
Continuing Education Credits:
NRS Continuing Education Guide
Recommended CPE Credit: 2
Recommended IACCP® CE Ethics Credit: 2
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