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Professional Ethics: Ethical Decision-Making for Compliance Professionals Applying a VUCA Approach

May 19, 2021
2:15 PM - 4:15 PM EDT
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Course Description:

As compliance professionals, we are used to working within sets of well-defined rules and creating procedures that manage risks. While there are rules that require Code of Ethics, and while we can develop procedures to mitigate risks of certain types of unethical behavior, ethical decision-making requires different (and perhaps, antithetical) skills.

As firms emerge from the health crisis and adjust to the new normal, new challenges surface in the administration of ethics programs. Each year, this session introduces a framework or perspective, such as misconduct contagion or psychological distancing, to aid in the decision-making tools compliance professionals can use in addressing ethical situations. In this interactive session, with the guidance of seasoned industry professionals, attendees will dissect and respond to various ethically based scenarios with emphasis on the VUCA (Volatility, Uncertainty, Complexity and Ambiguity) framework.

After attending this session, attendees should be able to:

  • Recognize ethical dilemmas and conflicts of interest that can surface in our “new normal” and how volatility, uncertainty, complexity and ambiguity influence the workplace
  • Identify how ethical considerations may benefit from a framework to address conduct
  • Develop an understanding of the ethical challenges firm members face and how you can address these challenges in your ethics training initiatives

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

Suggested Skill Level: Intermediate

Instructional Method: Group Internet-Based

Pre-requisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940, especially Rule 204-2, to become familiar with the structure and terms, and sample SEC examination request lists.

Advance Preparation: None

NRS Continuing Education Guide
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2