Course curriculum

  • 1. Fundamentals of Ethics

    • 1.1 What is Ethics in Business?

    • 1.2 What are Ethical Business Values?

    • 1.3 Confronting Ethical Dilemmas

    • 1.4 Making Harder Choices in A Global Environment

    • 1.5 Negative Perceptions of Financial Services

    • 1.6 Why Are Employees Vulnerable?

  • 2. How do Conflicts of Interest Arise?

    • 2.1 Causes of Conflicts

    • 2.2 Harms and Risks of Conflicted Positions

    • 2.3 The Solution

    • 2.4 Conflicts of Interest Between the Staff and the Firm and/or its Customers

    • 2.5 Conflicts of Interests Between the Firm and its Customers

    • 2.6 Conflicts of Interest Amongst the Firm’s 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 Recognising Conflicts of Interest

    • 6.2 Establishing Preventive Policy and Procedures

    • 6.3 Oversight by the Governing Authority

    • 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: More Than Policy and Procedures

  • 7. Assessment

    • Instructions

    • Questions