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.
Available as part of our FCA Compliance Library.
This course will prepare you to:
- Exercise: Statement of ethical conduct
- Exercise: Inside information
- Trading shares
- Exercise: Money laundering
- Exercise: Plagiarism
- Exercise: Outside employment
- Exercise: Gifts & entertainment
- Exercise: Disclosure of conflicts
- Exercise: Responsibilities of supervisors
- Exercise: Prohibition against misrepresentation
- Exercise: Independence & objectivity
- Exercise: Fiduciary duties
- Exercise: Priority of transactions
- Exercise: Fair dealing
- Exercise: Confidentiality
Approximately 40 minutes followed by a 10-question assessment.
Suitable for all staff - examples and interactivities designed for staff at all levels. No previous knowledge or experience is required.
SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via client style sheet.
Ability to offer optional test-out, whereby users can choose to skip the course content and complete the learning assignment by simply passing the assessment
All Windows, Mac OSX, iOS, Android (Flash-free for mobile compatibility). AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC.
Fully customisable on Skillcast Portal CMS.
Pre-translated versions not available, but all text content can be exported for translation into all languages.
Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.