Phase I: Foundation
Enhancing Professional Conduct in the Financial Services Industry
The financial services industry is at a crossroads - we are faced with a little-before seen crisis in the global economy and several instances of publicized lapses in professional ethics. Dr. Orts begins his sessions with founding principles of ethics - sharing results of psychological studies of situational ethics. He moves from theory to practice as he explores what is necessary to build ethical organizations and enhance/strengthen corporate responsibility.
After completing this session, you will be able to:
- Apply theories of human nature to compliance and ethics in the securities industry
- Understand positive and negative motivations for ethical behavior
- Use empirical data to support the importance of compliance and ethics in the workplace
- Learn various academic and secular approaches to ethics, such as: deontological, utilitarian, and modern social contract theories as well as virtue ethics Explain specific ethical issues in the securities industry
Instructor:
Eric Orts, Professor of Legal Studies and Business Ethics and Management, University of Pennsylvania
