SESSION 2: From Theory to Practice: Managing a Robust Code of Ethics Program

This session will discuss how Compliance and Senior Executives can effectively empower all personnel through a program that incorporates a strong ethical business and compliance culture into the regulated COE requirements. Further, the panel will address various firm-related, employee-related and client-related ethical conflicts.

Learning Objectives:

  • Review COE requirements and compatible management structure for a realistic sense of firmwide compliance value and ownership.
  • Interpose the firm’s culture into the COE through programs designed to illuminate ongoing positive interaction and self-reporting.
  • Address potential ethical conflicts based on a 360-degree approach considering enterprise risks, job functions, clients, and other industry organization COE programs
  • Learn to use case studies to facilitate effective COE training and education
  • Discuss how the teachings of behavioral ethics can enhance an ethics program