FINRA: Ethical Considerations for Operations Professionals

Overview

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

Learning Objectives

  • 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

Designed For

Operations


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