Explore the fundamental ethical principles that underpin professional conduct in the financial industry, including integrity, objectivity, competence, confidentiality, and professionalism.
Explore the essential responsibilities financial professionals have towards their clients, including fiduciary duty, duty of care, and maintaining confidentiality.
Explore the ethical obligations employees have to their employers, focusing on loyalty, diligence, and handling conflicts of interest. Learn how to manage proprietary information and understand the impact of employee conduct on organizational ethics.
Explore the practices and regulations that ensure the integrity of capital markets, including the prohibition of insider trading and market manipulation, and the role of financial professionals in maintaining ethical standards.
Explore the standards of professionalism and the importance of competence in the financial industry, including the role of continuous education and ethical decision-making.