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Professional Ethics: Ethical Decision-Making for Compliance Professionals (approved for IACCP Ethics credit)
Your firm has a code of ethics based on existing regulatory requirements. Now what? Moving beyond the code, how do you address ethical dilemmas in your firm? This practical and interactive ethics workshop uses scenario-based training and group discussion to engage attendees in analyzing and responding to ethical issues confronted by compliance professionals and various members of the firm.
After attending this course, you 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
- Identify the regulatory framework that should shape your ethical decision making
For Whom: Designed to increase the professional competence of financial services compliance professionals with legal, compliance, ethics, operations and management responsibilities
Suggested Skill Level: Intermediate
Instructional Method: Group Internet-Based and Group Live
Pre-requisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940, especially Rule 204A-1 (Investment adviser codes of ethics), to become familiar with the structure and terms.
Advanced Preparation: None
NRS Continuing Education Guide
Recommended CPE Credit: 2
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2