Industry Education: Professional Conduct Program
All seminars are conducted from 9:00am - 12:30pm.
2007 Dates will be announced soon.
Location: All seminars will take place at SIFMA headquarters:
Securities Industry and Financial Markets Association
120 Broadway, 35th Floor
New York, NY 10271
(212) 313-1200
Seminar Overview
SIFMA's Professional Conduct Program (PCP) Seminar is a unique program designed to enhance the skills of securities industry professionals as they face the challenging ethical issues inherent in everyday business. It serves as a catalyst to foster continued growth of the public's trust and confidence in the securities industry.
During these seminars, small groups will analyze case studies through focused discussion and facilitation. Specifically designed for the complex ethical issues of the securities industry, the Professional Conduct Program Seminar provides relevant, practical and useful information. The program examines various professional dilemmas, which we often face in our industry — situations which may be outside the strict letter of the law but, none-the-less, are essential to the integrity of our profession. While most ethic courses are generally only a standard review of securities regulation, SIFMA's Professional Conduct Program Seminar is unique in focusing on various conflicting points of view based on real and timely issues, drawn from actual industry situations.
Through frank discussion and exploration of differing points of view, participants sharpen their thinking as it relates to their professional responsibilities. By providing the format for this discussion, we can help develop a shared, practical business ethic that is the hallmark of professional conduct. This program focuses not merely on the right or wrong of various choices, but provides in-depth discussion to help professionals understand the rationale and decision making process used in each case.
One of the main benefits of the Professional Conduct Program Seminar is that participants view the various dilemmas presented and gives them a tool for shaping what is acceptable in their firms and what is not acceptable.
Topics covered in the Professional Conduct Program Seminar may include:
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