Ethical Standards in Finance and Investment
The FCA's ethical standards apply to individuals in finance and investment. These standards cover a professional's responsibilities to their firm and their clients.In financial services, a firm's most valuable asset is its reputation. Compliance with standards concerning inside information, money laundering, conflicts of interest, fiduciary duties, etc., helps maintain this.
Our Ethical Standards in Finance and Investment Course explains the fundamental responsibilities of professionals working in financial services.
- 40 Minutes
- All staff
- Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.

Learning objectives
- 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
What can you expect your employees to learn?
Welcome
Statement of ethical conduct
- Exercise: Statement of ethical conduct
Inside information
- Exercise: Inside information
- Sunita
- Trading shares
Money laundering
- Exercise: Money laundering
Plagiarism
- Exercise: Plagiarism
Bribery & corruption
Registration
Conflicts of interest
- Exercise: Outside employment
- Exercise: Gifts & entertainment
- Exercise: Disclosure of conflicts
Responsibilities of supervisors
- Exercise: Responsibilities of supervisors
Email access
Internet access
Prohibition against misrepresentation
- Exercise: Prohibition against misrepresentation
Independence & objectivity
- Exercise: Independence & objectivity
Preparation of research reports
- Exercise: Fiduciary duties
Fiduciary duties
Investment recommendations & actions
Priority of transactions
- Exercise: Priority of transactions
Fair dealing
- Exercise: Fair dealing
Confidentiality
- Exercise: Confidentiality
Summary
Affirmation
Assessment
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Your questions, answered
Financial Crime
Common FAQs
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