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.
- 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)
Who Should Attend
Financial services practitioners with managerial roles
Instructor / Speaker
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.