Business Conduct & Ethical Standards

The Fundamentals of Business Ethics


This eCourse aims to help financial practitioners develop an understanding of business ethics and to handle ethical issues appropriately that arise in the workplace.

This eCourse introduces what the general principles and areas of business ethics are and why they are important. The course will go through the key rules and regulations under the Code of Conduct for Persons Licensed or Registered with the Securities and Futures Commission (‘Code of Conduct’), and the ‘Fit and Proper’ Guidelines by the Securities and Futures Commission (SFC). Through real-life examples and scenarios, this course will help you understand how you can handle ethical issues in the workplace appropriately.

This eCourse is also available in Traditional Chinese and Simplified Chinese.


By the end of this eCourse, you will be able to:

- Understand and identify the regulatory requirements  
- Describe the principles and key areas of business ethics  
- Define and apply an approach to handle ethical issues in a business environment

Content Highlight

1. Introduction to business ethics
2. SFC licensing requirements and Fit and Proper Guidelines
3. 4 key areas of business ethics
4. Enforcement cases and lessons learnt
5. Approaches to handle ethical dilemmas at work

Final Assessment (10 questions with 80% as the passing marks)

Who Should Attend

1. All newly licensed individuals
2. Existing practitioners who would like to refresh their knowledge of the fundamentals of business ethics
3. Anyone who is interested in learning the topic

Administrative Details

Relevant Subject
Ethics / Compliance
SFC:1.00, PWMA:1.00
All (Member & Non-Member): Free