Ethical Behaviour in Banking - Fundamentals
The objective of this course is to illustrate and define the professional obligations and the rules of conduct which must be observed by all employees of banks and PSF (FSP).
- The position and mission of the CSSF
- Combating money laundering & financing of terrorism
- Professional obligations
- Professional secrecy
- Prudential rules (Specialised PSF and Support PSF)
- Rules of conduct (Specialised PSF and Support PSF)
- Specific rules of conduct for PSF managing third party funds
- Rules of conduct - MIFiD
- The ABBL's Code of ethics
- The ALFI's code of ethics
- Market abuse
- Economic crime
- Computer crime
- The Compliance function
For this training course, an optional exam is available. In case of interest, candidates can choose a date from the list of proposed examination sessions. Registration for the exam must be made at least five days before the chosen exam date. The exam is subject to a registration fee.
The training material will be handed out at the beginning of the course.