[Webinar] "Ethics and Compliance – Keys to Professional Success" – ICAC Seminar for Financial Services Practitioners with Managerial Roles



Building a successful compliance and ethics program is challenging and a must for any regulated entity. Such a program helps organisations to ensure compliance with regulatory requirements, proactively identify risks, and improve ethical behaviour. Management has to strive for a balance between the ever-increasing compliance demands of regulators and internal stakeholders. Establishing a compliance culture and training employees on policies go a long way towards ensuring an ethical environment.

In this joint webinar with CFA Society Hong Kong, the ICAC will highlight common corporate crimes and suggest ways to manage staff integrity and prevent corruption in the workplace.


- To introduce the Prevention of Bribery Ordinance and the relevant legal and regulatory framework relating to professional ethics of the financial industry;
- To heighten participants’ awareness of common legal and ethical issues in the industry;
- To enhance skills in making ethical decisions in order to perform regulated activities ethically and in the best interests of clients; and
- To suggest ways to manage staff integrity and prevent corruption in the workplace.


1. Introduction
- Opportunities and challenges in the financial industry
- Importance of professional ethics

2. Corruption risks and legal compliance
- Current corruption scene
- Common legal and ethical issues in the financial industry
- Legal and regulatory framework against bribery and related malpractices
- Red flags of corruption and misconduct

3. Business conduct and professional ethics
- Codes and guidelines of regulatory bodies
- Principles for making ethical decisions
- Tips on managing staff integrity

4. Corruption Prevention in the workplace
- Corporate ethics health checklist
- Report corruption and related crimes (e.g. money laundering)

Who should attend

Financial services practitioners with managerial roles

Speaker/Course Instructor

Colin LAU
Mr Colin Lau joined the Community Relations Department of the ICAC in 2006. Throughout the years, Mr Lau has accrued experience in liaising with various sectors and giving corruption prevention seminars for personnel from government departments, public bodies and private corporations, including senior management of private companies and professional bodies as well as promoting the ICAC corruption prevention philosophy to overseas and mainland visitors.

Mr Lau currently serves in the Hong Kong Business Ethics Development Centre (HKBEDC) of the ICAC as Senior Community Relations Officer to promulgate business ethics and anti-corruption messages to different strata of the community. Mr Lau holds a Bachelor of Science Degree and a Master of Philosophy Degree from the Chinese University of Hong Kong.


Date & Time
Thursday, 30 Nov 2023 (12:00PM - 2:00PM)
Virtual Platform
Relevant Subject
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
SFC:2.00, PWMA:2.00