10c. ALL – Building a Strong Culture of Compliance & Ethics (Intermediate)
Building a strong culture of compliance is easy to talk about but hard to do. This session will discuss the key elements to improving your firm’s culture of compliance and suggest constructive ways this can be accomplished.
- Discuss the importance of, and how to foster, “tone at the top”
- Learn how to diplomatically deal with non-conformers and push-back, especially in management
- Incentivize ethical behavior in your firm
- Determine the most effective methods of ethics training and testing