Business Conduct & Ethical Standards

Business Conduct and Ethics - Part 1 (2023)

*This is an updated version of Business Conduct and Ethics - Part 1 (TERBE21000701).

Overview

Conflicts of interest arise when you have a reason to act in favor of one set of interests over another. In recent years, they have become a major focus for regulators seeking to improve the quality of governance and risk management at financial firms.

This eCourse provides a high-level overview of conflicts of interest at financial firms, including how such conflicts arise, how they may expose firms to various risks, and how they can best be managed.

Objective

On completion of this eCourse, you will be able to:
- Define conflicts of interest (COIs)
- Name the key sources and categories of COIs
- Identify the COIs management process, including identification, monitoring, mitigation, and disclosure

Content

Conflicts of Interest
Topic 1: Conflicts of Interest Overview
Topic 2: Conflicts of Interest in Finance
Topic 3: Managing Conflicts of Interest

Details

Code
TERBE23001901
Venue
ePlatform
Relevant Subject
Ethics/Compliance
Language
English
Level
Introductory
Hours
SFC:1.00, PWMA:1.00
Fees
All Member: HK$285
Staff of Corporate Member: HK$285
Non-Member: HK$420