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[Webinar] "Ethics and Compliance – Keys to Professional Success" – ICAC Seminar for Financial Services Practitioners with Managerial Roles
Overview
Building an effective compliance and ethics programme is both essential and challenging for any regulated entity. Such a programme ensures that organisations proactively identify corruption risks, meet relevant regulatory requirements and promote ethical behavior. Management should strive to achieve a balance between meeting increasingly stringent regulatory requirements and addressing the expectations of internal stakeholders. Cultivating a strong compliance culture, supported by continuous training on policies and professional ethics, is key to fostering an ethical business environment. In this webinar, the ICAC will highlight emerging corruption risks and share practical strategies for managing staff integrity and preventing corruption in the workplace.
Content
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. Integrity management in action
- 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
Throughout the years of his service in the ICAC, Mr Law has accrued experience in liaising with various sectors and giving corruption prevention seminars for personnel from government departments, public bodies, private corporations and professional bodies, as well as promoting the ICAC corruption prevention philosophy to visitors from the Mainland and overseas.