COMPLIANCE SERIES: Dr Tony Tan – Why behaving ethically is so hard (17 November 2016)

Compliance in the Financial Services Industry

~ a series of public lectures ~

In response to the rapid development of what the compliance task involves, a series of public lectures giving a 360-degree perspective on the major considerations, tools, strategies, operational matters and challenges relevant to the compliance task. Jointly hosted by HKU’s Asian Institute of International Financial Law & the Hong Kong Securities and Investment Institute

Second Lecture

Why behaving ethically is so hard

Dr Tony TAN, CFA
CFA Institute

Thursday, 17 November 2016, 12:30 – 1:30 pm
5/F, Wing On Centre,111 Connaught Road Central
HKSI Institute

Synopsis The lecture discussed why behaving ethically is so difficult. Using a combination of theories involving philosophy, psychology and behavioural economics, Dr. Tan illustrated a common mis-understanding of the homo sapien and how we rationalise bad behaviour. He also explained conditions that increase dishonesty and possible solutions that can decrease it.

Speaker bio Tony Tan is Head of the Global Society Advocacy Engagement and Standards & Advocacy division for CFA Institute for the Asia Pacific region. He is responsible for leading CFA Institute efforts in advocacy, policy development, and regulatory outreach. Dr. Tan received his doctorate from the University of Western Australia. Additionally, he holds a Master of Research degree from the same university and a Master of Science in Financial Economics degree from the University of London. He is also a CFA charterholder.

Should you have any enquiries, please feel free to contact HKSI Institute by email at or by phone at 3120 6100.

Upcoming Lectures
Third Lecture ~ 07 Dec 2016 :
Alice Law, MPFA, On regulatory expectations
Fourth Lecture ~ 15 Feb 2017 :
Greg Heaton, SFC, On licensing

This project is supported by the RGC Theme-based Research Scheme Project: “Enhancing Hong Kong’s Future as a Leading International Financial Centre”