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Thu, Jul 20



Ethics & Conflicts of Interest Training

Due to the increasing focus on sound culture and conduct by MAS and other professional and supervisory bodies, Lymon will be conducting an Ethics & Conflicts of Interest training session (IBF Accredited) on 20 July 2023 (Thursday).

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Ethics & Conflicts of Interest Training
Ethics & Conflicts of Interest Training

Time & Location

Jul 20, 2023, 3:00 PM – 5:00 PM GMT+8


About the Event

This training session will enable you to understand and identify possible forms of conflicts of interest in capital markets intermediaries including fund management companies, broker-dealers, and financial advisory companies, and the corresponding mitigating measures which you can put in place to mitigate such conflicts of interest.

Compliance Training: Ethics and Conflict of Interest (TGS-2022602038)

  • Introduction to ethics
  • Overview of increasing regulatory focus on sound ethical culture and conduct
  • Various types of conflicts of interest scenarios in fund management companies, broker-dealers and financial advisors, and how to identify them
  • Suggested Policies, Procedures and Controls to strengthen and foster a culture of ethics in the workplace
  • Establish a Written Code of Ethics and MAS/ industry best practices
  • Establish an appropriate human resource policy
  • Establish a credible Whistleblowing channel
  • Implement Internal Controls per industry best practices to mitigate conflicts of interest
  • Conduct regular independent audits
  • Case studies on unethical behaviours and conflicts of interest in the workplace

Please do not hesitate to contact us at +(65) 6709 4110 / +(65) 6980 0359 or email us at should you require further information.

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