[Webinar] “Ethics and Compliance – Keys to Professional Success” – ICAC Seminar for Financial Services Practitioners with Managerial Roles

(CODE: 231130S-CEX)

CPT/CE Eligibility (A Recognized CPT Provider)

Building a successful compliance and ethics program is challenging and a must for any regulated entity. Such a program helps organizations to ensure compliance with regulatory requirements, proactively identify risks, and improve ethical behaviour.

Management has to strive for a balance between the ever-increasing compliance demands of regulators and internal stakeholders. Establishing a compliance culture and training employees on policies go a long way towards ensuring an ethical environment.

In this joint webinar with Hong Kong Securities and Investment Institute, the ICAC will highlight common corporate crimes and suggest ways to manage staff integrity and prevent corruption in the workplace.

Content Highlight

1. Introduction

– Opportunities and challenges in the financial industry

– Importance of professional ethics

2. Corruption risks and legal compliance

– Current corruption scene

– Common legal and ethical issues in the financial industry

– Legal and regulatory framework against bribery and related malpractices

– Red flags of corruption and misconduct

3. Business conduct and professional ethics

– Codes and guidelines of regulatory bodies

– Principles for making ethical decisions

– Tips on managing staff integrity

4. Corruption Prevention in the workplace

– Corporate ethics health checklist

– Report corruption and related crimes (e.g. money laundering)

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About the Speaker

Mr. Colin LAU
Senior Community Relations Officer
Hong Kong Business Ethics Development Centre
ICAC

Mr. Colin Lau joined the Community Relations Department of the ICAC in 2006. Throughout the years, Mr. Lau has accrued experience in liaising with various sectors and giving corruption prevention seminars for personnel from government departments, public bodies and private corporations, including senior management of private companies and professional bodies as well as promoting the ICAC corruption prevention philosophy to overseas and mainland visitors.

Mr. Lau currently serves in the Hong Kong Business Ethics Development Centre (HKBEDC) of the ICAC as Senior Community Relations Officer to promulgate business ethics and anti-corruption messages to different strata of the community.

Mr. Lau holds a Bachelor of Science Degree and a Master of Philosophy Degree from the Chinese University of Hong Kong.

Rating General- Material presented will be basic and of interest to a general audience having no background in the area. 

CFA Societies Global Passport Program

CFA Society Hong Kong has participated in the CFA Societies Global Passport Program which allows CFA society members to enjoy local society member rate at selected events like this luncheon.  Members of non-CFA Society Hong Kong CFA Institute societies qualify to attend this event at CFA Society Hong Kong member rates.  Please contact CFA Society Hong Kong at events@cfahk.org to register.

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Remarks

• This Webinar is a complimentary event for all members.
• Upon registration, the registrant will be given a link for the session, please do not share the link with others.
• Members will be entitled to receive CPT Attendance Letter at NO extra costs after attending the FULL webinar. Please see below for further details.
• To qualify for CPT/CE hours, all participants must attend the full webinar. After the webinar, Society staff will verify participants’ check-in and check-out time from the registration system for the purpose of issuing CPT Attendance Letters. No pro-rata credit hours will be awarded.
• The event will be conducted in English.
• The webinar link and email confirmation will be sent to the registrant one week before the event date. 
• A webinar reminder will be sent out 1 day before the event. If you have not received the email confirmation and reminder, it is the delegate’s responsibility to contact CFA Society Hong Kong to confirm their place.
• The webinar will be conducted on Cisco WebEx and arranged by HKSI Institute.
• Please log in the webinar link 10 mins in advance of the session start time to allow some time to solve the technical issues (if any) and the webinar will start promptly at 12:00 PM.
• For attendance-taking purpose, participants’ names and company names (if any) may be given to the speaker of this event.
• Should there be any changes to the event dates and other arrangements, we will notify participants via SMS and/or email.  Notices will also be posted on Society’s website.  Please stay alert with our notifications.
• The event organizers reserve the right to change the format, date or speakers of the event due to unforeseen circumstances without prior notice.
• In case of dispute, the decision of CFA Society Hong Kong is final, and no further correspondences will be entertained. 
• Please note that no request for an attendance letter will be processed after the event date & registration deadline.

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