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 it can be implemented personally, as a supervisor, and within an organization. It introduces you to the process of ethical dynamics and an ethical decision making process that can help deal with grey areas and unprecedented or controversial issues. It concludes with an examination of common ethical dilemmas faced by institutional employees in the securities industry. 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.
The Ethics Module and Case Study covers topics including:
- Definition of Ethics
- Difference between Ethics and Rules
- Importance of Ethics
- Cost of Unethical Behaviour
- Ethical Decision Making
- Ethics in the Organization
- Effective Ethics Programs
- Ethical Issues in the Securities Industry
- Canadian Securities Industry Code of Ethics
- Institutional focused case study
|Question Format||Multiple Choice|
|Questions Per Quiz||55|
|Enrolment Period||6 months|
* IMPORTANT: There is no maximum to the number of quiz attempts permitted, but only the first passing grade (60% or over) will appear on official web transcript.
Continuing Education (CE) Credits
Click the links below or the buttons at the top of the page on the right side to access CE accreditation information. To search for specific course information, press Ctrl + F and then enter the course name to search the document for the information you are interested in.
National/Provincial (Excluding Quebec)
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Download IQPF/CSF Chart (PDF, 182 kb)
Please note: While CSI makes every effort to ensure that the information is up-to-date, we are unfortunately unable to fully guarantee its accuracy. The information listed in the charts above may be subject to change.
For details on the organizations and other information on CE Credits listed in the above charts, please click here.