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

概要

Building a successful compliance and ethics program is challenging and a must for any regulated entity. Such a program helps organizations to ensure compliance with regulatory requirements, proactively identify risks, and improve ethical behavior. 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 webinar, the ICAC will highlight common corporate crimes and suggest ways to manage staff integrity and prevent corruption in the workplace.

宗旨

- 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.

內容

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)

對象

Financial services practitioners with managerial roles

導師/講者

朱慧珊
Ms Mabel CHU has been working in the Community Relations Department of the Independent Commission Against Corruption (ICAC) for over 20 years. Throughout the years, Ms CHU has accrued experience in liaising with various sectors and giving corruption prevention seminars for personnel from government and private sectors.

Ms CHU currently serves in the Hong Kong Business Ethics Development Centre of the ICAC as Senior Community Relations Officerto promulgate ethics and anti-corruption messages to the business community of Hong Kong.

詳情

活動編號
TSGOT22000101
日期及時間
2022年6月16日, 星期四 (4:00下午 - 6:00下午)
地點
虛擬平台
相關主題
第1類 - 證券交易
第2類 - 期貨合約交易
第3類 - 槓桿式外匯交易
第4類 - 就證券提供意見
第5類 - 就期貨合約提供意見
第6類 - 就機構融資提供意見
第7類 - 提供自動化交易服務
第8類 - 提供證券保證金融資
第9類 - 提供資產管理
第10類 - 提供信貸評級服務
第11類 - 場外衍生工具產品交易或就場外衍生工具產品提供意見
第12類 - 為場外衍生工具交易提供客户結算服務
誠信操守/合規
語言
Trad. Chi / 廣東話
課程時數
SFC:2.00, PWMA:2.00