Ethical Standards in Insurance and Investment
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45 Minutes -
For all staff
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UK
An ethical business culture means doing the right thing routinely rather than exceptionally. This 45-minute course covers the fundamental responsibilities of insurance and investment professionals: honesty and integrity, avoiding plagiarism, handling confidential information, and the duties owed to employer, customers and third parties, including disclosure obligations.
Professional standards in these sectors are enforced through several routes at once, including the regulator, professional bodies and the employment relationship. A single lapse can end a career even where no rule was formally broken. Setting expectations explicitly protects individuals as much as the firm, and gives managers a clear reference point when standards need to be discussed.
What you’ll learn in
this course
- Understand the importance of maintaining ethical standards
- Know your fundamental responsibilities: honesty and integrity, avoiding plagiarising, avoiding inappropriate use of confidential 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