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Ethics and Standards of Conduct (LCI1117)

Continuing Education → Compliance


Description

Spike Lee once said “Do the right thing”. And then he made the movie. 30 years later, those same words still hold true. This course is an introduction to ethics and the standards of conduct in the financial services industry.
Do the right thing.

CE Credits: 0.5 Accreditation Number: LCI1117C05 CE Credit Type: Compliance

Content
  • 1. Introduction (1:01)
  • Ethics
  • 2. Understanding Ethics (1:52)
  • Standards of Conduct
  • 3. Standards of Conduct (1:36)
  • 4. CSI Standards of Conduct (0:39)
  • 5. Standard A (1:27)
  • 6. Standard B (1:42)
  • 7. Standard C (2:30)
  • 8. Standard D (1:38)
  • 9. Standard E (1:38)
  • 10. Best Practices (2:30)
Completion rules
  • All units must be completed
  • Leads to a certification with a duration: Forever