Business Conduct & Ethical Standards

[Webinar] From Dilemmas to Decisions – A Case Study Approach in Elevating Ethical Awareness in Private Wealth Management

Overview

The course aims to raise awareness of ethical pitfalls by highlighting regulatory expectations and examining case studies.

Participants will have the opportunity to explore past local and overseas cases relevant to private wealth management, enabling them to learn and stay alert when faced with ethical dilemmas at the workplace.

Content Highlight

• Ethics vs. compliance – What is the difference
• Avoid falling into cracks: Understand the importance of ethics and key regulatory expectations regarding sound business conduct
• Case studies – Lesson learned from ethical pitfalls in practice
• From dilemmas to decisions: Navigate difficult choices

Who Should Attend

Licensed individuals include the MIC, RO, compliance officers, risk managers, and practitioners in the finance or banking industry who are interested in this topic.

Instructor / Speaker

Debbie MAN

Ms Debbie Man has over 20 years’ experience in the financial services industry. Before serving as Head of Compliance for a private bank, she previously gained experience at various banks and a local regulatory authority. Debbie holds professional qualifications including CFA, FCCA, Certified Banker, CAMLP, CCOP (GC) and CCOP (IIC) etc. In addition, she holds a Master’s degree in Regulation from the London School of Economics and Political Science.

Administrative Details

Code
TPRBE24002103
Date & Time
Friday, 6 Dec 2024 (12:00 PM - 02:00 PM)
Venue
Virtual Platform
Relevant Subject
Type 1 - Dealing in securities
Type 4 - Advising on securities
Ethics / Compliance
Language
English
Hours
SFC:2.00, PWMA:2.00
Fees
Back Enrolment Closed