3a. ALL – Ethical Practice Programs in Action (Intermediate - OPEN)
The panel will examine the intersection of the firm’s Code of Ethics with the professional codes of ethics and conduct, such as the CFA Institute Code, the CFP Boards of Standards, and the ABA Code of Professional Responsibility. The panel will consider multiple professional behavioral situations and examine the “slippery slope” of situational ethics. This session will focus on firm-wide practices and how enriched interpersonal skills assist teams in pursuing and maintaining codes of conduct and higher ethical standards.
This session is open to regulators but closed to members of the press.
Learning Objectives:
Examine various professional codes of conduct common to financial services professionals.
Discuss the reputational and financial risks to the firm as well as sanctions and disciplinary actions that might result.
Leverage available resources and tools to encourage positive ethical behavior.
Develop and continually reinforce firm values and ethics through employee training.
