Ethics & Conflicts of Interest Training

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 contact@lymon.com.sg should you require further information.