概要

Building a successful compliance and ethics program is challenging and a must for any regulated entity. Such a program helps organisations to ensure compliance with regulatory requirements, proactively identify risks, and improve ethical behaviour. 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 joint webinar with CFA Society Hong Kong, 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