Overview

In the financial services industry, working and competing ethically in the marketplace means that firms must maintain the highest level of integrity in all that they do. This is vital not just to your firm, but also to the communities in which your firm operates and the global economy.

Consumers’ trust in your firm and industry is fundamental to your firm’s success, employees’ job security and the shared future of your firm and its employees. The purpose of industry oversight and regulation is to ensure the soundness of the financial services industry, protect consumers from harm and foster consumer confidence in the industry.

This course will help improve your understanding and awareness of your regulatory and ethical responsibilities in the workplace.

Objective

At the end of this Course, you will be able to:
- Describe the purpose of regulation in the financial services industry
- Identify your main responsibilities under the regulatory regime
- Describe the importance of behaving ethically in all that you do
- List your key risk-management duties as an employee
- State when and how to escalate and report any concerns or potential conflicts

Content

- Introduction
- Guiding Principles
- Regulatory Environment
- Market Conduct
- Personal Conduct
- Confidential Information
- Financial Crime
- Gifts and Entertainment
- Conflicts of Interest
- Conclusion