Ethical Standards in Insurance and Investment Compliance E-Learning
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40 Minutes -
For all staff
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UK
FCA ethical standards apply to individuals across finance and investment, covering what a professional owes to their firm and their clients. This 40-minute course sets out responsibilities around honesty and integrity, avoiding plagiarism and misuse of inside information, and duties including disclosure of conflicts and handling confidential material.
Reputation is the asset a financial firm cannot rebuild quickly, and it is usually damaged by an individual rather than a system. Standards here are enforced through the regulator, professional bodies and the employment contract at the same time. Making the expectations explicit protects your people as much as the firm, and gives managers a clear basis for the conversations that prevent escalation.
What you’ll learn in
this course
- Know your fundamental responsibilities: honesty and integrity, avoiding plagiarising, avoiding the use of inside information
- Know your responsibilities to the Firm: disclosure of conflicts, responsibilities of supervisors, observing policies regarding personal account dealing, email and Internet access, not misrepresenting yourself or the Firm
- Know your responsibilities to your clients: independence and objectivity, properly preparing research reports, fulfilling fiduciary duties, fair dealing and preserving confidentiality
Hear from our customers
Feefo Customer Rating ★★★★★ 4.9/5
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