Implementing the Adviser Codes of Ethics Rule and Instilling a Firm-wide Ethical Culture and Compliance Professional Development: Leveraging Leadership, Communication and Technology for Effective Compliance

Ethics is not an option; it’s a requirement. Since the adoption of the SEC Rule on Codes of Ethics, every registered investment adviser firm must adopt codes of ethics that establish standards of conduct and address conflicts that arise from personal trading issues. Instruction and guidance for this course focus on identifying the required components of standard codes of ethics and learning how to draft plans for implementing firm-wide ethics policies and procedures that both help remind adviser personnel of their obligations to clients and avoid conflicts of interest.

While compliance professionals are most adept at understanding what knowledge is needed to execute compliance tasks and responsibilities and foster a culture of ethical compliance, how to execute and implement is more challenging. Leadership, empowerment, organizational, research, technology, communication and teaching skills weigh heavily in how effectively and pervasively a compliance and ethics culture can be established in a firm. Participate in exercises that refine the skills and abilities that a compliance professional needs and gain concrete experience transforming rules and regulations into meaningful daily action.

This course offers the opportunity to:

1) Understand and implement the requirements of SEC Rule 204A-1: Investment Adviser Codes of Ethics

2) Explain processes for monitoring and controlling personal securities trading by adviser personnel to avoid potential conflicts and possible ethics violations

3) Learn and practice techniques that foster a firm-wide culture of ethics

4) Use case studies, often drawn from actual SEC enforcement cases, to identify, analyze and resolve universal ethical dilemmas and challenges

5) Participate in exercises that refine the skills and abilities that a compliance professional needs to inculcate a strong organizational compliance culture

6) Gain concrete experience transforming rules and regulations into meaningful daily action

7) Refine communication and leadership skills to excel as compliance leaders in an ethical organization

8) Understand how technology can help ease your firm’s compliance burden