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Continuing Education → Compliance

Ethics (LCI0402C)


Description

"In a civilized life, law floats in a sea of ethics." - Earl Warren

In the financial services industry, truer words could not be spoken. This course tackles the fundamental challenges with ethics and moral conflicts.


This CE activity has been approved by FP Canada as meeting the requirements for CE Approval as outlined within the FP Canada Continuing Education Guidelines. The views and opinions expressed in this presentation are those of the presenter / content author and do not necessarily reflect the views of FP Canada.

CE Credits: 2.0 Accreditation Number: 6380 CE Credit Type: Compliance

Content
  • Prologue
  • Prologue: Daniel Reeve
  • Introduction
  • Ethics Course Overview
  • Understanding Ethics
  • Ethics Evolution
  • Understanding Ethics
  • Understanding Values
  • Which Values are in YOUR Core Value System?
  • Understanding Principles
  • When Values Conflict
  • Right or Wrong? Making Moral Decisions
  • The Setup
  • Right or Wrong
  • The Review
  • Our Buggy Moral Code - Dan Ariely (16:20)
  • FP Canada Principles of the Code of Ethics
  • FP Canada's Code of Ethics
  • Principle 1: Duty of Loyalty to the Client
  • Duty of Loyalty to the Client
  • Principle 2: Integrity
  • Integrity
  • Principle 3:Objectivity
  • Objectivity
  • Principle 4: Competence
  • Competence
  • Principle 5: Fairness
  • Fairness
  • Principle 6: Confidentiality
  • Confidentiality
  • Principle 7: Diligence
  • Diligence
  • Principle 8: Professionalism
  • Professionalism
  • Steps for making ethical decisions
  • Models for Handling Ethical Dilemmas
  • Analyzing a Contemplated Action
  • Values-based Culture of Ethics
  • Conclusion
  • Creating a Culture of Ethics
  • Final Test
  • Ethics Test
  • Epilogue
  • Enron Values
Completion rules
  • You must complete 95.00% of the content
  • Leads to a certification with a duration: Forever