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.
- 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
- Date:May 25, 2021
- Time:2:45 pm
- Event:SESSION 1: Vendor Management
SESSION 2: Code of Ethics