This course presents six common ethical principles and selected decision-making models for supervisors to consider when facing ethical dilemmas. Scenarios demonstrate how these models can be practically applied to common ethical challenges faced by securities professionals.

• recognize six common ethical principles
• understand selected models to consider as a resource in resolving ethical dilemmas
• consider the difference between ethical and unethical behavior
• understand your role in establishing and maintaining an ethical environment and culture of compliance within your firm

Registered principals