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).
Time & Location
Jul 20, 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 email@example.com should you require further information.