1d. ALL – Managing Your Code of Ethics (Intermediate)

Attendees will gain an understanding of some of the most common Code of Ethics deficiencies that occur (even among experienced employees) and what can be done to minimize and correct them. The panel will discuss how best to perform oversight of those responsible for the day-to-day reviews of Code compliance. Opportunities to further enhance a firm?s culture of compliance and Code of Ethics will be covered in this session.

Learning Objectives:

  • Hear about best practices related to maintaining and enhancing Codes of Ethics.
  • Discuss common deficiencies encountered while enforcing Codes of Ethics including remediation ideas for violations and training opportunities.
  • Understand oversight activities to help ensure that violations are properly identified and addressed when the day-to-day Code compliance activities are being performed
  • Learn how Code violations can be incorporated into employee performance appraisals to further drive the firm?s culture of compliance and learn how to address any objections from HR and senior management


Sponsored by:

Intermediate                        Program Level: Date: October 19, 2020 Time: 10:00 am - 11:15 am Mary Johnston Tod Sawicki

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For More Information, Contact Us:

(860) 672-0843 info@nscp.org