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Professional Ethics: Ethical Decision-Making for Compliance Professionals

October 17, 2019
10:45 AM - 12:45 PM PDT
View On-Demand

Course Description:

Beyond the rules that require the Code of Ethics and the development of procedures to manage risks, compliance professionals must also demonstrate decision making that fosters remediation of unethical practices and sustainable ethical behavior. This session goes beyond the decisions involved in writing policies and procedures and addresses the process for deciding how to enforce and respond to violations of the Code. In this engaging interactive session, you will dissect and respond to various Code of Ethics based scenarios including discussions and commentary with seasoned industry professionals.

After attending this course you will be able to:

  • Recognize ethical dilemmas and conflicts of interest that can surface in administering your Code of Ethics and how compliance, firm culture, and individuals can influence decision-making
  • Identify how perspectives regarding the Code of Ethics may vary among different members of a firm depending on the circumstances
  • Develop an understanding of the challenges social norms and social learning present to ethical decision making and Code of Ethics program administration

For Whom: Designed to increase the professional competence of investment adviser professionals with legal, compliance, technology 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.

Advance Preparation: None

NRS Continuing Education Guide
Recommended CPE Credit: 2
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2