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Professional Ethics: Navigating Thorny Ethical Decision-Making for Compliance Professionals

May 18, 2022
11:00 AM - 1:00 PM EDT
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Course Description:

We are all familiar with the rules requiring advisers to create, maintain and enforce Codes of Ethics. That said, fostering a culture that encourages ethical decision-making, and that identifies and roots out unethical behavior, requires far more than even the finest policies and procedures can offer.

This session will present compelling, if perhaps thorny, questions designed to help identify and promote ethical behavior in your firm.

After attending this session, attendees should be able to:

  • Recognize ethical dilemmas and conflicts of interest and identify factors that can positively or negatively influence the workplace
  • Identify the benefits, and limitations, of written codes of conduct
  • Develop an understanding of the ethical challenges inherent in your firm’s business and methods to address these challenges in your training program

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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: Basic

Instructional Method: Group Internet-Based and Group-Live

Prerequisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940 and Form ADV to become familiar with structure and terms, and the SEC adopting release IA-3060 – Amendments to Form ADV (July 28, 2010).

Advance Preparation: None

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