Business Conduct & Ethical Standards

[Webinar] From Dilemmas to Decisions – A Case Study Approach in Elevating Ethical Awareness in Private Wealth Management

(The webinar will be delivered via Zoom)

Overview

The course aims to raise awareness of ethical pitfalls by highlighting regulatory expectations and examining case studies.

Participants will have the opportunity to explore past local and overseas cases relevant to private wealth management, enabling them to learn and stay alert when faced with ethical dilemmas at the workplace.

Content

• Ethics vs. compliance – What is the difference
• Avoid falling into cracks: Understand the importance of ethics and key regulatory expectations regarding sound business conduct
• Case studies – Lesson learned from ethical pitfalls in practice
• From dilemmas to decisions: Navigate difficult choices

Who should attend

The webinar is primarily targeted at senior management and practitioners working in private wealth management institutions. Additionally, it welcomes participation from MIC and RO of relevant LC, compliance officers, risk managers and other banking practitioners who are interested in understanding this topic.

Financial Incentive Scheme of the WAM Pilot Programme

This course has already been approved as an eligible course of the Financial Incentive Scheme for Professional Training (“the Scheme”) under the Pilot Programme to Enhance Talent Training for the Asset and Wealth Management Sector (“the Pilot Programme”). The Scheme aims to enhance the competency and professionalism of in-service practitioners within the asset and wealth management sector and to assist other practitioners within the financial services industry in acquiring the knowledge and skills required for entering the sector. Eligible applicants will be subsidised 80% of the course fees by the HKSAR Government upon satisfactory completion of the courses approved by Hong Kong Securities and Investment Institute, subject to a ceiling of HK$15,000. Hong Kong Securities and Investment Institute is appointed as the implementation agent of the Pilot Programme. Regarding the details of eligible criteria and application procedures, please refer to the dedicated web-site of the Pilot Programme (https://www.wamtalent.org.hk/).

Speaker/Course Instructor

Debbie MAN
Ms Debbie Man has over 20 years’ experience in the financial services industry. Before serving as Head of Compliance for a private bank, she previously gained experience at various banks and a local regulatory authority. Debbie holds professional qualifications including CFA, FCCA, Certified Banker, CAMLP, CCOP (GC) and CCOP (IIC) etc. In addition, she holds a Master’s degree in Regulation from the London School of Economics and Political Science.

Details

Code
TPRBE24002101
Date & Time
Friday, 26 Apr 2024 (6:30PM - 8:30PM)
Venue
Virtual Platform
Relevant Subject
Type 1 - Dealing in securities
Type 4 - Advising on securities
Ethics/Compliance
Tags
New
Language
English
Hours
SFC:2.00, PWMA:2.00
Fees
All Member: HK$560
Staff of Corporate Member: HK$560
Non-Member: HK$1120