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CE Ethics Course, Retail Version


To gain the trust of clients and staff and comply with industry regulators, financial services professionals must practice within the highest ethical standards. This Module reviews the importance of ethics both for you as a practitioner and for your firm. It looks at ethical behaviour at different levels within an organization and how ethics should be implemented within it. Current regulations regarding ethical practice are reviewed and you are provided with the opportunity to put what you have learned into practice with a case study based on a retail situation. This course can be applied to meet the ethics educational requirement for the Fellow of CSI (FCSI) designation, as well as Investment Industry Regulatory Organization of Canada (IIROC)'s Continuing Education requirements.