Online Ethics and Compliance Training
Ethics and Compliance Essentials
Geography Covered: Global | Duration: 35 minutes
This 35-minute Ethics and Compliance training course is, in essence, a "Code of Conduct" training course for organizations that do not have a formalized Code of Conduct. It covers all of the most important ethical and compliance principles that organizations face — including conflicts of interest, information security, electronic communications, and many others — but without reference to a Code.
The available versions for this course include:
- Ethics and Compliance Essentials (US)
- Code of Conduct (Global)
Reinforcing ethical principles and educating employees about compliance with the law are ongoing and important responsibilities. An organization is only as ethical and compliant as its officers, managers and employees. Ethics and compliance training is helpful for encouraging appropriate behavior, setting expectations, demonstrating the organization's commitment, and informing employees of laws or regulatory principles that may not be common knowledge.
Integrity and scruples not only keep us out of court and out of prison, but they are good for business. One study found that companies making "an explicit commitment to doing business ethically" have produced profit/turnover ratios at 18% higher than those without a similar commitment. Conversely, a bad reputation can ruin a business – ethics and compliance training is how an organization can avoid that.
- Fair dealing
- Preventing discrimination and harassment
- Conflicts of interest
- Business courtesies
- Information security
- Business records
- Protecting company assets
- Health, safety and the environment
- Alcohol and drug abuse
- Workplace violence
- Political activity
- Insider trading
- Fair disclosure
- Anti-competitive conduct
- Bribery and kickbacks
- Reporting ethics violations
Like all our courses, the Ethics and Compliance training course is written by attorneys and powered by world-leading regulatory intelligence, which tracks more than 900 regulators and exchanges globally to ensure the course content is always up to date.
We employ instructional design techniques optimized for risk and compliance training, enabling your business to educate in a way that reduces risk and encourages compliant behavior.
As with all our training courses, Ethics and Compliance training is driven by practical examples and interactive scenarios to ensure users truly understand and recognize the issues of most importance to your business and learn to instinctively act to support them.
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The Market Conduct course explains the main types of market manipulation that can occur in stock markets around the globe and helps employees understand their responsibilities regarding prohibited market behavior.
The Introduction to Regulation course provides an overview of the main regulatory requirements that apply to employees of financial services firms and gives an understanding of their main responsibilities under the regulatory regime.