Ethics

Cost Members - TBA
Non-Members - TBA
Duration 2 Days
Time 7:45 am - 4:45 pm
CRCP Credits 12
CRCP CE Credits 12
CPE Credits 15.5
CPE Course Type Overview
Location Date Code

TBA

Available in 2009         

TBA
Venue

TBA

 

Other Registration Options & Cancellation Policy

 

Tentative 2009 Course Agenda (PDF 25 KB)

 

FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) Candidates who enrolled in the program after January 2007 are required to complete this course in order to meet the Phase II CRCP requirement.


Course Description


This course examines current ethical issues within the financial services industry, including fair business behaviors and ethical decision-making. Case studies and scenario-based group exercises allow participants to discuss ethical situations.

After completing this course, you will be able to:

  • Discuss the relationship between ethical and legal or regulatory issues
  • Recognize the unique conflicts of interest in the securities industry
  • Apply techniques to increase employee sensitivity and awareness of ethical issues
  • Understand the impact of reward system influences (e.g., goals and compensation) on ethical conduct
  • Promote ethical behavior and a culture of compliance through firm management and leadership
  • Leverage prescriptive decision-making tools to resolve ethical issues
  • Identify the human limitations that interfere with ethical decision-making
  • Discuss enforcement actions, disciplinary activity and punishments for illegal and unethical conduct

Only FINRA's Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, seminars, and other professional development courses are closed to the media.