2a. ALL – Behavioral Ethics in Finance: Detecting Compliance Risks Before They Escalate (Intermediate)
What happens when the actions of an individual do not align with the organization’s values or regulatory standards of conduct? What happens when that individual is a member of or supported by senior management? Understanding behavioral ethics is crucial for companies aiming to strengthen compliance and risk management. In this session, panelists will explore how behavioral ethics, ethical blind spots, ethical fading and decision-making tendencies can contribute to compliance violations. Attendees will learn how to recognize early warning signs of ethical lapses, to improve oversight and develop a culture of integrity. Through real-world case studies, this session will provide compliance professionals with tools to detect and prevent unethical behavior before they become regulatory concerns. This session is open to regulators but closed to members of the press.
