Business Conduct & Ethical Standards

Business Conduct and Ethics - Part 1 (2023)

Retired

*這是Business Conduct and Ethics - Part 1 (TERBE21000701)的更新版本。

概要

Conflicts of interest arise when you have a reason to act in favor of one set of interests over another. In recent years, they have become a major focus for regulators seeking to improve the quality of governance and risk management at financial firms.

This eCourse provides a high-level overview of conflicts of interest at financial firms, including how such conflicts arise, how they may expose firms to various risks, and how they can best be managed.

宗旨

On completion of this eCourse, you will be able to:
- Define conflicts of interest (COIs)
- Name the key sources and categories of COIs
- Identify the COIs management process, including identification, monitoring, mitigation, and disclosure

內容

Conflicts of Interest
Topic 1: Conflicts of Interest Overview
Topic 2: Conflicts of Interest in Finance
Topic 3: Managing Conflicts of Interest

詳情

活動編號
TERBE23001901
地點
網上平台
相關主題
誠信操守/合規
標籤
Retired
語言
英文
級別
Introductory
課程時數
SFC:1.00, PWMA:1.00
費用
非會員: HK$450
所有會員: HK$300
機構會員員工: HK$300