Ethics & practice standards CPD workshop
Tuesday 1 April 2014
ETC Venues: Dexter House, No.2 Royal Mint Court, Tower Hill, London EC3N 4QN
The Programme
09:00
Registration & refreshments
09:25
Welcome
Sam Rees-Adams, IFP & Rose St Louis, Cofunds
09:30
SESSION I: Unmasking forms of deceit
Christopher Keeble, DSO MSc FCMI, Supernumerary Fellow, Harris Manchester College, Oxford
The rationale for this session is based on an argument that long term ‘prosperity’ and 'sustainability' is the
reward for the IFP, though the maintainance of trust in its reputation. A moral threat to its reputation
emerges from various forms of 'deceit'. By understanding and recognising these forms, which Chris intends
to unmask, it may be possible for individual to create suitable ethical defences.
10:15
SESSION II: Applying the Code of Ethics and Practice Standards in a Financial Planning business
Andrew Brook-Dobson CFPCM, Director, Brook-Dobson Brear
Andrew will explore areas of the IFP’s Code of Ethics and Practice Standards and how they should be
applied within a Financial Planning business.
11:00
Comfort break
11:10
SESSION III: In civilized life, law floats in a sea of ethics
Philippa Hann, Partner - Financial Services Litigation, Clarke Willmott LLP
Commissioned jointly by the Department for Business, Innovation and Skills (BIS) and the Department for
Work and Pensions (DWP), the Law Commission has considered whether the law ensures that investment
strategies continue to be in the best interests of members throughout the investment period. The law
commission report looks at imposing a fiduciary duty on those within the investment chain. Philippa will
take you through the conclusions of the law commission and the proposals for changes to the the FCA
regulations.
11:55
SESSION IV: Compliance and ethics: driving the right behaviours
Esrar Moitra, Consulting Director, Optima RS
The key question is 'with an increasing developed regulatory framework over the last fifteen years,
combined with increasing levels of compliance and supervisory within regulated firms, why has this failed
to prevent mis-selling?' The answer considers whether fostering the right culture to drive the right
behaviours, judgements and decisions within the firm could reduce the risks to firms and consumers.
12:35
SESSION V: Defamation and social media
Michael Clarke, Partner – Commercial Litigation, Clarke Willmott LLP
With the increased use of social media bringing opportunities to promote our businesses and reach a large
audience come the tribulations of the legal issues arising from this emerging trend. With high profile
defamatory actions hitting the tabloids, such as Sally Bercow’s defamatory “tweet” published about Lord
McAlpine and the recent incarceration of two individuals for posting abusive tweets to banknote campaigner
Caroline Cradio-Perez and Labour MP Stella Creasy, it is important that we are all alive to these issues.
During the session delegates will gain an understanding of defamation law and how to safeguard themselves
from civil and criminal liability when using social media tools such as Facebook, LinkedIn and Twitter.
13:05
Lunch
13:45
SESSION V: Case study session [to include a comfort break]
Elizabeth Ellis & Kevin Macnish, Teaching Fellow and Consultant in Applied Ethics, University of Leeds’
Centre for Inter-Disciplinary Ethics
Elizabeth and Kevin will take delegates through a number of new case studies covering a variety of ethical
scenarios for discussion and debate.
16:00
Round up & close
Supported by
This event is accredited with 5.5 hours of structured CPD