Ethical Standards in Finance & 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.

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Ethical Standards in Finance and Investment

About this Course

Available as part of our FCA Compliance Library.

Learning Objectives

This course will prepare you to:

  • 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

Course Outline

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

FCA Course Library

Our FCA Course library of over 60 training modules covers everything from high-level and conduct of business standards to thematic topics, including treating customers fairly.

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FCA Course Library

Course Specifications

 

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Structure

Approximately 40 minutes followed by a 10-question assessment.

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Audience

Suitable for all staff - examples and interactivities designed for staff at all levels. No previous knowledge or experience is required.

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Design

SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via client style sheet.

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Test-Out

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 

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Compatibility

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.

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Tailoring

Fully customisable on Skillcast Portal CMS.

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Translation

Pre-translated versions not available, but all text content can be exported for translation into all languages.

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Localisation

Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.