- Compliance, CPE Courses Below RM200
- 64 (Registered)
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Level
- Refresher
Accreditation
- 5 SIDC CPE points
- 4 FIMM CPD hours
ICF Competency Type / Title / Level
- Core / Ethics and Integrity / Level 1
Learning Outcome
- Recognise the principles of ethics and integrity
- Determine situations leading to conflict of interest
Course Synopsis
In this competitive financial services field, professionals need to make a lot of tough and quick decisions. To instill a culture of professionalism in the industry, the Financial Services Professional Board has launched the code of ethics and guidance notes which need to be followed by everyone in the financial services industry.
Ethics course is very important to help the professionals better identify good ethical behavior. In this course, the users will be able to learn more about some case studies of past instances of ethical breaches and their repercussions and the real situations of ethical issues happening the workplace. Besides that, this course will help users to differentiate what is ethical and what is not.
Course Content
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Downloadable Notes
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Guidance Notes
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Code of Ethics Notes
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Why ethics and professional standards need to be high for the financial services industry
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Fiduciary duty to the public and stakeholders
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The repercussion to the economy and the country if ethical practices are disregarded
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Case studies of past instances of ethical breaches and their repercussions – from Barings to 1MDB
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Case studies of past instances of ethical breaches and their repercussions – from Barings to 1MDB (Part 2)
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Quiz 1
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The Financial Services Professional Board and code of ethics for the financial services industry
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The five principles Code of Ethics – competence, integrity, fairness, confidentiality and objectivity
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Guidance Notes – how to apply the Code of Ethics through Policies, Procedures and Processes
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Quiz 2
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Discussion on situations where ethics will come into play
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Pressure from stakeholders
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Conflict between business needs and ethics
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Legal but not ethical
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Personal gain and the hidden cost
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Quiz 3
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Leading by example
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Taking a stand and walking the talk
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Quiz 4
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Summative Assessment
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Final test
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