Ethical principles are the foundation of many regulation and compliance standards in the finance industry. Ethics define how standards are met, who supervises them and how they are enforced. In order for financial advisers to understand compliance and come up with plans to support organization-wide compliance, the ethical principles behind existing regulations need to be understood.

Our program aims to help participants discover professional ethics, why it is important to follow them and how they impact decision making. Issues related to professional ethics will also be addressed. Financial advisers and their representatives can also learn the codes of conduct that they have to abide by and understand why they have to uphold certain behaviors and standards.

The program is suited for senior financial advisers, representatives and various team leads that have a direct impact on a client’s funds. The Ethics program equips professionals in the finance industry in ethical and responsible strategizing and decision making.

Who is suitable for this program?

• Team leads and senior managers of financial advisers
• CEOs of financial adviser organizations
• Chief Distribution and Agency officers
• Company directors of financial adviser organizations
• Representatives that have been working in the FA field for more than 5 years
• Senior Agency Managers for insurance agents
• Bank Branch Managers

Learning Outcome

• Grasp ethical principles and their impact on decision making
• Resolve ethical dilemmas using ethical theories
• Learn the relevant steps to resolving ethical dilemmas
• Study the basics of professional ethics
• Explain the components of a code of conduct
• Appreciate the importance of the code of conduct
• Understand the need for behaving ethically as a professional
• Become a better leader by understanding ethical development