The staff of financial institutions must put up their best behaviour even when no one is watching. Observing good business ethics beyond regulatory requirement is a core attribute of a successful appointed representative. The integrity of the appointed representative is one of the core success indicators of a financial institution. Learning to manage ethical-struggle situations helps to bring up one’s conduct in the regulated activities. This will also bring up the professionalism in the course of performing the regulated activities.

• Understand the fundamentals of ethics
• Recognise the various forms of conflicted positions
• Case study 1: staff vs. firm
• Case study 2: firm vs. client
• Case study 3: staff vs. firm
• Know the different approaches that are used to management conflicts of interests

Module 1: Fundamental of Ethics

Module 2: How do Conflicts of Interest Arise?

Module 3: Case Study 1: Personal Relationships between Employees

Module 4: Case Study 2: Misleading Communications to Customers

Module 5: Case Study 3: Failure to Manage Conflicts of Interest Fairly

Module 6: Managing Conflicts of Interest

Assessment – MCQ