Learning objectives
- Know your fundamental responsibilities: honesty and integrity, avoiding plagiarising, avoiding the use of inside information
- Know your responsibilities to the Firm: disclosure of conflicts, responsibilities of supervisors, observing policies regarding personal account dealing, email and Internet access, not misrepresenting yourself or the Firm
- Know your responsibilities to your clients: independence and objectivity, properly preparing research reports, fulfilling fiduciary duties, fair dealing and preserving confidentiality
Welcome
Statement of ethical conduct
- Exercise: Statement of ethical conduct
Inside information
- Exercise: Inside information
- Sunita
- Trading shares
Money laundering
- Exercise: Money laundering
Plagiarism
- Exercise: Plagiarism
Bribery & corruption
Registration
Conflicts of interest
- Exercise: Outside employment
- Exercise: Gifts & entertainment
- Exercise: Disclosure of conflicts
Responsibilities of supervisors
- Exercise: Responsibilities of supervisors
Email access
Internet access
Prohibition against misrepresentation
- Exercise: Prohibition against misrepresentation
Independence & objectivity
- Exercise: Independence & objectivity
Preparation of research reports
- Exercise: Fiduciary duties
Fiduciary duties
Investment recommendations & actions
Priority of transactions
- Exercise: Priority of transactions
Fair dealing
- Exercise: Fair dealing
Confidentiality
- Exercise: Confidentiality
Summary
Affirmation
Assessment
Economic Sanctions
Violation of sanctions issued by the UN, the US and the EU which place restrictions on payments and other financial transactions can result in fines as well as criminal charges.