This course instructs learners on the importance of acting ethically and what to do if they see unethical behavior in the workplace. It also explains how to recognize and mitigate ethical dilemmas in the financial industry through real world examples.

• understand why it is important to act ethically;
• recognize ethical dilemmas and conflicts of interest;
• mitigate common conflicts of interest in the financial industry; and
• know what to do if you see unethical behavior in the workplace.

Registered Representatives