[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 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.


- 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)


Financial services practitioners with managerial roles


Ms Sharin HO joined the Community Relations Department of the ICAC in 2020. Throughout the years, Ms HO has accrued experience in liaising with various sectors and giving corruption prevention seminars for personnel from government, private corporations and professional bodies. Ms HO currently serves in the HKBEDC as Community Relations Officer to promulgate ethics and anti-corruption messages to different strata of the community. Ms HO holds a Master of Laws in Compliance and Regulation from the University of Hong Kong and a Bachelor of Business Administration from the Hong Kong University of Science and Technology.


2023年8月23日, 星期三 (4:00下午 - 6:00下午)
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
Trad. Chi / 廣東話
SFC:2.00, PWMA:2.00