This lab will examine the challenges that face compliance departments when doing the right thing may not feel like the best thing. We will examine the nexus between compliance and ethics that forms the foundation of a firm’s culture of compliance. Participants will be led through a series of “ripped from the headline” ethical dilemmas that will explore and give context to an ethical decision-making framework.
• Discuss how to set the tone from the top using agreed upon expectations of ethical behavior within your firm
• Examine practical ways to help ensure that employees feel free to report violations of policy and are aware of whistleblower protections
• Apply an ethical decision-making framework through scenarios and instructor led examples
• Review best practices for helping ensure that your policies and procedures reflect your ethical and regulatory imperatives