Ethics
| Cost |
Members - $1,800 Non-Members - $2,350 |
|
| 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 |
|
TBD |
Available in 2010 |
TBD |
| Venue | ||
|
TBD |
||
Other Registration Options & Cancellation Policy
Tentative 2010 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 Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps and FINRA Institute at Wharton are closed to the media.
