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Continuing Education → Compliance

Ethics (LCI0402C)


Description

"In a civilized life, law floats in a sea of ethics." - Earl Warren

In the financial services industry, truer words could not be spoken. This course tackles the fundamental challenges with ethics and moral conflicts.

CE Credits: 2.0 CE Credit Type: Compliance

Content
  • Prologue
  • Prologue: Daniel Reeve
  • Introduction
  • Ethics Course Overview
  • Understanding Ethics
  • Ethics Evolution
  • Understanding Ethics
  • Understanding Values
  • Which Values are in YOUR Core Value System?
  • Understanding Principles
  • When Values Conflict
  • Right or Wrong? Making Moral Decisions
  • The Setup
  • Right or Wrong
  • The Review
  • Our Buggy Moral Code - Dan Ariely (16:20)
  • FP Canada Principles of the Code of Ethics
  • FP Canada's Code of Ethics
  • Principle 1: Duty of Loyalty to the Client
  • Duty of Loyalty to the Client
  • Principle 2: Integrity
  • Integrity
  • Principle 3:Objectivity
  • Objectivity
  • Principle 4: Competence
  • Competence
  • Principle 5: Fairness
  • Fairness
  • Principle 6: Confidentiality
  • Confidentiality
  • Principle 7: Diligence
  • Diligence
  • Principle 8: Professionalism
  • Professionalism
  • Steps for making ethical decisions
  • Models for Handling Ethical Dilemmas
  • Analyzing a Contemplated Action
  • Values-based Culture of Ethics
  • Conclusion
  • Creating a Culture of Ethics
  • Final Test
  • Ethics Test
  • Epilogue
  • Enron Values
Completion rules
  • You must complete 95.00% of the content
  • Leads to a certification with a duration: Forever