Course curriculum

  • 1. Fundamentals of Ethics

    • 1.1 Making Appropriate Choices

    • 1.2 Making Harder Choices

    • 1.3 Misconceptions about Financial Services

  • 2. How do Conflicts of Interest Arise?

    • 2.1 Why the Concern about Conflicted Positions?

    • 2.2 Staff vs. The Firm/Customers

    • 2.3 The Firm vs. Customers

    • 2.4 Customers vs. Customers

  • 3. Case Study 1: Personal Relationships between Employees

    • 3.1 “Manager’s Unfair Dismissal Claim Rejected”

    • 3.2 Learning Points

  • 4. Case Study 2: Misleading Communications to Customers

    • 4.1 “FINRA Sanctions MetLife Securities”

    • 4.2 Learning Points

  • 5. Case Study 3: Failure to Manage Conflicts of Interest Fairly

    • 5.1 “£17.6m Fines for Failure”

    • 5.2 Learning Points

  • 6. Managing Conflicts of Interest

    • 6.1 Identifying Conflicts

    • 6.2 A Robust Policy and Procedures

    • 6.3 Establishing Oversight

    • 6.4 Providing Education and Training

    • 6.5 Auditing, Monitoring and Testing

    • 6.6 Incentives and Discipline

    • 6.7 Response and Prevention

    • 6.8 Summary

  • 7. Assessment

    • Instructions

    • Questions