5d. ALL – Integrating Behavioral Ethical Standards with Compliance Programs


Experts will share recent academic behavioral ethics research findings and discuss how to effectively integrate behavioral ethical standards with successful compliance program, with an emphasis on the need for enhanced collaboration between Human Resources and Compliance. This session will focus on joint practices, applications and how enriched interpersonal skills assist employees in pursuing and maintaining codes of conduct and higher ethical standards.
Advanced Preparation: None
Pre-requisites for participation: No prerequisites are required
Learning Objectives:
• Leveraging resources and assets to assist in policy and procedures development and disclosure items (including personal finance matters)
• Defining reputational and financial risks to the firm and examples caused by the misconduct of employees
• Determining sanctions and disciplinary actions that are applied at all levels and firm-wide
• Continually developing and strengthening firm values and ethics by coordinating and augmenting educational and annual employee programs

Sponsored by:

Panel                        Program Level: Intermediate Date: October 22, 2019 Time: 9:50 am - 11:05 am Leo Karwejna Serina Vash