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Professional Ethics: Ethical Decision-Making for Compliance Professionals

February 24, 2022
1:00 PM - 3:00 PM EST
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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 respond to the health crisis and office environments invade personal living spaces, new challenges surface in the administration of ethics programs. In this interactive session, attendees will dissect and respond to various ethically based scenarios, joined in discussion with seasoned industry professionals.

After attending this session, attendees should be able to:

  • Recognize ethical dilemmas and conflicts of interest that can surface in servicing clients and how compliance, firm culture, and the Code of Ethics 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 ethical challenges firms 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