Ethics & Conflicts of Interest Training (P220319UBX)

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Ethics & Conflicts of Interest Training (P220319UBX)

Ethics & Conflicts of Interest Training Session on 13 October 2022

When and where

Date and time

Location

Online

Refund Policy

No Refunds

About this event

Due to the increasing focus on sound culture and conduct by MAS and other professional and supervisory bodies, Lymon will be conducting an upcoming Ethics & Conflicts of Interest (“COI”) training session. The 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.

The training session will be conducted via Webinar.

The training details are as follows:

Date: 13 October 2022 (Thursday)

Time: 3.30 pm – 5 pm: Training Session + Q&A

• Assessment* to be completed in your own time within two business days after the training session (i.e. 17 October 2022, 6 pm)

Venue: To be conducted via Webinar - the dial-in details and the link to the Assessment will be sent nearer the date

Ethics & Conflicts of Interest Training (P220319UBX)

  • 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

Assessment: After the training session, participants will be required to successfully complete an Ethics & Conflicts of Interest Assessment to fulfil the criteria set out under IBF’s Core SFA / FAA CPD Scheme.

Core SFA / FAA CPD hours: 2 hours / 2 hours

Please drop us an email at events@lymon.com.sg for any queries/clarifications.

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