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Ethical decision-making in financial markets

The global focus on ethics, culture and conduct in financial markets is placing increasing pressure on the industry to self-regulate the behaviour of both organisations and individuals. ASIC has made it clear that relying on legal compliance is no longer enough to meet regulatory expectations.

Utilising examples and case studies based on current financial markets, this course provides practical training in making ethical decisions and, critically, in voicing and acting on personal and organisational values. You will learn how to make ethical decisions utilising codes of conduct and the easy-to-use Lapochka ethical decision-making tool and practical approaches to speaking and acting on ethical decisions. Designed specifically for financial markets, the course draws on ethical theory and applies it to real-world financial markets situations.


PROGRAM:
TITLE: Ethical Decision Making in Financial Markets
CE: 12hrs
FEE: Member - $1,045.00.00 including GST
Non Member - $1,320.00 including GST
 
DATES:
Available as in-house only

HOW DO YOU UNDERTAKE THE course?

The workshop is completed via a combination of workshop attendance, self-study and self-study. 

The estimated workload for this workshop includes:

  • 2 hours of pre-work to be completed online in the Lapochka Moodle
  • attendance at 2 x 4 hour workshops
  • attendance at a 2-hour follow-up session to review and discuss experiences in implementing the learning from the workshop

WHAT WILL YOU LEARN?

The module will equip you to:

  • apply codes of conduct, including the Lapochka Code of Conduct, when making decisions in 'grey' areas where there is no clear law or rule, or where values appear to conflict
  • evaluate the situational and psychological barriers to ethical decision-making and actions when you encounter values conflict in the workplace
  • analyse a range of workplace ethical issues in financial markets and determine a course of action utilising the Lapochka ethical decision-making framework
  • identify individuals and/or resources that may provide advice and guidance on ethical dilemmas if required
  • implement the habit of critical ethical reflection to enhance personal ethics and individual sense of identity as a financial market professional.

MORE INFORMATION

For further information on Ethical Decision-Making in Financial Markets, please read through the information below:

This workshop is also available as an in-house training solution. Please contact [email protected] for further information. 

ABOUT THE TRAINER

Dennis Gentilin, Consultant

Dennis is a financial services professional who has worked in a variety of roles in financial markets across trading, structuring and distribution desks. He has experienced firsthand the challenges associated with encountering and dealing with ethical issues in this environment, having been publicly named as a “whistleblower” in an FX trading scandal.

Dennis is an honorary fellow at the Centre for Ethical Leadership and the author of The Origins of Ethical Failures. He holds degrees in banking and finance, and psychology.


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