Ethical Behaviour in Banking - Fundamentals

The aim of this course is to explain and define the professional obligations and rules of conduct that must be observed by all employees of banks and PSFs (FSP).

• Introduction
  • Position and mission of the CSSF
  • Fight against money laundering & terrorist  financing
• Professional obligations
  • Professional secrecy
  • Prudential rules (Specialised PSF and Support PSF)
  • Rules of conduct (Specialised PSF and Support PSF)
  • Special 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