Ethics in the Financial Industry

SKU: FR1100

CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and with Live Webinars!

Course Media Options

About This Course

This CLE program provides guidance on the roles of attorneys and compliance professionals and their ethical obligations in different situations. High ethical standards are critical to maintaining the public's trust in financial markets and in the investment profession. This session is designed to educate attendees on the standards of ethical behavior specific to the financial services industry. Panelists will provide examples and case studies of actions considered to be misconduct or illegal. Panelists will also discuss how to establish "best practices" with regard to maintaining ethical standards of conduct in your practice.

After attending this session, you will be able to:

  • Understanding the legal issues surrounding conducting internal investigations.
  • Recognize the ethical issues when cooperating with regulators while maintaining privilege.
  • Identify the laws and rules that trigger external reporting obligations and the legal issues those regulations create.
  • Relize when joint representation is permissible.
  • Apply the ethics laws and rules to a series of hypothetical facts.
  • Obtain tips regarding best practices to follow in conducting internal investigations, cooperating with regulators, handling whistleblowers and entering into joint representations.

FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Spend less and get more

Get the courses that you need and the forms completed in days — not weeks or months.

Feature Ribbon Icon
CLE Manager on a headset

Dedicated CLE Manager

Quality help from a responsive CLE expert dedicated to assisting you.

Feature Ribbon Icon
A wall of media options

Riveting Content & an Exceptional Library

Experience outstanding presenters.

Feature Ribbon Icon
Customer viewing progress on a computer

Free Customized CLE Tracker

Keep crystal clear records of your courses and credits.

Feature Ribbon Icon
All of our media formats

Online, Audio CD, DVD, iOS/Android App, USB Stick

Learn at your pace, in the format that you prefer.

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize OptionsRight ArrowCustomize Options