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Professional Ethics: Ethical Decision-Making for Compliance Professionals

April 30, 2019
2:30 PM - 4:30 PM EDT
View On-Demand

Course Description:

Beyond the rules that require Code of Ethics and the developing of procedures to manage risks, compliance professionals must also demonstrate decision making that fosters unethical remediation and sustained 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 them. In this engaging interactive session you will dissect and respond to various ethically-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 administering your Code of Ethics and how compliance, firm culture, and individuals can influence decision-making
  • Identify how ethical considerations may vary among different members of a firm depending on the circumstances
  • Develop an understanding of the challenges involved in ethical conversations and decisions among your firm members and how you can address these challenges in your ethics training initiatives

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

Instructional Method: Group Internet-Based and Group Live

Pre-requisites for participation: No prerequisites are required

Advance Preparation: None

CA MCLE = 16.5 (based on a 60-minute hour)
CFP = pending approval (based on a 50-minute hour)
IACCP = 17.5 general, 2.0 ethics (based on a 50-minute hour)
CPE = 19.5 in the Regulatory Ethics field of study (based on a 50-minute hour)