Professional Ethics: Ethical Decision making for Compliance Professionals, (IA) (Intermediate) (Webinar)
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 interactive session, you will dissect and respond to various Code of Ethics based scenarios including discussions and commentary with seasoned industry professionals.
- 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
- Matt Fitzgerald, Chief Compliance Officer, PGIM Fixed Income
- Kurt Wachholz, Director Education, NRS