Professional Ethics: Ethical Decision-Making for Compliance Professionals
Is employee compliance sufficient or is more expected? Some organizations want more than compliance—they want to foster an ethical culture. 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, presented by CFA Institute directors, will use real-life examples to bring ethical decision making to life. Identify ethical pitfalls and discover the key strategies that you can utilize to overcome them. This session will provide you with the knowledge to make better decisions and implement those decisions throughout your organization.
After attending this course, attendees should be able to:
- Recognize unethical decisions and related actions including fraud, aiding and abetting
- Build strategies to investigate activities objectively and allow you to operate transparently
- Review the regulatory framework that should shape your decision-making
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
Continuing Education Credits:
NRS Continuing Education Guide
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended IACCP CE Credit: 2
Recommended CA MCLE Credit: 2
Recommended CFP® Credit: Pending