Executive Development Programme in Wealth Management Ethics and Compliance
-- ViewingNowThe Executive Development Programme in Wealth Management Ethics and Compliance is a certificate course designed to empower professionals with the necessary skills to navigate the complex world of wealth management. This programme focuses on the ethical and compliance aspects of wealth management, making it essential for individuals seeking to advance their careers in the industry.
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⢠Introduction to Wealth Management Ethics and Compliance: Understanding the regulatory landscape and the importance of ethical conduct in wealth management.
⢠Legal and Regulatory Framework: A deep dive into the laws, regulations, and industry standards that govern wealth management, including anti-money laundering (AML) and know-your-customer (KYC) requirements.
⢠Ethical Decision Making in Wealth Management: Exploring the ethical considerations that wealth managers must take into account when making decisions on behalf of clients, including conflicts of interest and fiduciary duties.
⢠Compliance Program Development and Implementation: Best practices for developing and implementing a comprehensive compliance program, including policies, procedures, and training.
⢠Risk Management in Wealth Management: Identifying and managing the unique risks associated with wealth management, including market, credit, liquidity, and operational risks.
⢠Data Privacy and Security in Wealth Management: Understanding the importance of protecting client data and ensuring the security of sensitive information in a digital age.
⢠Code of Ethics and Professional Conduct: The role of a code of ethics in promoting ethical behavior and maintaining the integrity of the wealth management industry.
⢠Ethical Investing and Socially Responsible Investing (SRI): Exploring the growing trend of ethical investing and SRI, and the role of wealth managers in meeting the needs of clients who seek to align their investments with their values.
⢠Ongoing Monitoring and Reporting: Best practices for ongoing monitoring and reporting of compliance activities, including suspicious activity reporting and recordkeeping.
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