Contents:
1. Professionalism
- Ethics as a central issue in financial services
- Importance pf knowledge of the law , rules and regulation
- Role of regulation in corporate finance and financial markets
- Plagiarism policy
2. Integrity of Financial Markets
- Ethical use of information, information asymmetry
- Trading on insider information
- Investment banking and Chinese walls
- Market manipulation
3. Ethics and Business
- Concrete examples of unethical behaviour in corporations
- Investing in companies with good corporate governance practices
- Socially responsible investing
4. Duties to Clients and Employers
- Loyalty, prudence, and care
- Fair dealing and suitability
- Ethical reporting of financial performance
- Investment analysis, recommendations, and actions
- Conflicts of interest
- Communication with clients, priority of transactions and referral fees
1. Professionalism
- Ethics as a central issue in financial services
- Importance pf knowledge of the law , rules and regulation
- Role of regulation in corporate finance and financial markets
- Plagiarism policy
2. Integrity of Financial Markets
- Ethical use of information, information asymmetry
- Trading on insider information
- Investment banking and Chinese walls
- Market manipulation
3. Ethics and Business
- Concrete examples of unethical behaviour in corporations
- Investing in companies with good corporate governance practices
- Socially responsible investing
4. Duties to Clients and Employers
- Loyalty, prudence, and care
- Fair dealing and suitability
- Ethical reporting of financial performance
- Investment analysis, recommendations, and actions
- Conflicts of interest
- Communication with clients, priority of transactions and referral fees