Business Conduct Practices CE

Business Conduct Practices for firm element continuing education.

Employee conduct is essential to the success of any business, but this is especially true for the financial industry. The aim of Business Conduct Practices is to enable a company to meet compliance and risk management responsibilities in an efficient and effective manner. This course provides a basic understanding of the concepts associated with business conduct and presents an ethical framework within which an employee may interact with various entities. Business conduct practices are defined at the outset, followed by explanations of the ethical issues associated with various business interfaces, and the appropriate behavior with which a professional should deal with external and internal customers, shareholders, business partners, and competitors. The nature of regulation is also touched upon within this course.

LEARNING OBJECTIVES:

• Understand the concept of proper business conduct.
• Comprehend the necessity of integrating ethics and values in sound business dealings.
• Recognize the different types of business entities that employees may interact with.
• Understand business conduct practices when dealing with both internal and external customers.
• Understand business conduct practices when dealing with business partners.
• Understand business conduct practices when dealing with regulatory bodies.
Be aware of the need for compliance toward laws and statutes and the positive effect that this will have on business.

TOPICS COVERED:

• Introduction
• Lesson 1: An Introduction to Business Conduct
• Lesson 2: Dealing with External Customers, Internal Customers and Shareholders
• Lesson 3: Dealing with Business Partners
• Lesson 4: Dealing with Competitors & the Nature of Regulation

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