[網上研討會] “誠信與合規 - 專業成功的關鍵” - 香港廉政公署為金融服務業管理人員舉辦之專題研討會
概要
對任何受監管機構而言,建立一套完善有效的合規及誠信管理制度,既不可或缺,亦充滿挑戰。透過有關制度,機構可主動識別貪污風險,確保業務符合相關監管要求,並促進良好道德操守。管理層應在監管機構日益提高的合規要求與內部持份者的期望之間取得平衡。透過建立合規文化,為員工提供有關內部政策及職業道德的持續培訓,有助維護以誠信為本的營商環境。是次研討會,廉政公署將剖析最新的貪污風險趨勢,並分享實務策略,協助機構管理職員操守,防範貪污問題的發生。
內容
1. 簡介
- 金融服務業的機遇與挑戰
- 專業道德的重要
2. 認識貪污風險及法律
- 近期貪污概況
- 金融服務業常見的違法及操守問題
- 監管貪污及不當行為的法規
- 貪污及違規行為的警示
3. 堅守專業道德及操守
- 監管機構的守則及指引
- 道德抉策指引原則
- 管理職員操守的誠信錦囊
4. 落實防貪措施
- 企業誠信管理清單
- 舉報貪污及不當行為(例如洗黑錢罪行)
對象
金融服務業管理人員
導師/講者
Soey AU YEUNG
Ms Soey Au Yeung is a Certified Public Accountant and a Certified Internal Auditor. She currently serves as a Senior Corruption Prevention Officer at the Private Sector Integrity Centre of the ICAC, where she promotes ethical culture in the private sector and assists private organisations in strengthening their anti-corruption capabilities.
Drawing on her expertise in corruption prevention, auditing and internal controls, Ms Au Yeung provides businesses with professional corruption prevention advice and support in strengthening integrity through review of systems and procedures and capacity building sessions. Throughout her service in the ICAC, she has held various positions, accruing experience in graft fighting across both the public and private sectors and collaboration with professionals from diverse industries. Her expertise in corporate governance, internal controls, and fraud and corruption risk management is particularly relevant to financial services practitioners.
Drawing on her expertise in corruption prevention, auditing and internal controls, Ms Au Yeung provides businesses with professional corruption prevention advice and support in strengthening integrity through review of systems and procedures and capacity building sessions. Throughout her service in the ICAC, she has held various positions, accruing experience in graft fighting across both the public and private sectors and collaboration with professionals from diverse industries. Her expertise in corporate governance, internal controls, and fraud and corruption risk management is particularly relevant to financial services practitioners.
詳情
活動編號
TSGOT26000102
日期及時間
2026年11月23日, 星期一 (12:00下午 - 2:00下午)
地點
虛擬平台
相關主題
標籤
Re-run
語言
英文
課程時數
SFC:2.00, PWMA:2.00
費用
所有會員: HK$170
機構會員員工: HK$170
非會員: HK$340
香港證券及投資學會員工: HK$0
榮譽資深會員(FHKSI(Hon)): HK$0
