SESSION 2: Integrating Ethics into Conflicts of Interest Policies

Conflicts of Interest include codes of ethics, trading requirements and disclosure obligations. Firms must ensure that the concept of ethics is engrained in a firm’s policies and culture. These policies must be designed to adequately identify, mitigate and disclose conflicts of interest. This session will discuss ways to ensure that ethical practices resonate throughout the firm.

Learning Objectives:

  • Analyze your firm’s ethics and conduct culture; discuss normative and behavioral ethics approaches
  • Logistically assess risks and practices by taking inventory of perceived and recognized conflicts of interest
  • Discuss practical situations as a means of determining weaknesses (including following the money)
  • Educate personnel and encourage management to incorporate ethics policies to improve interactions with employees, clients, and vendors.