Chapter 17: Ethical Practices and Professional Conduct

In this section

• Understanding Fiduciary Responsibilities to Clients
  Explore fiduciary responsibilities and ethical practices, including conflict management and confidentiality for investment representatives.
• Prohibited Activities
  • Mastering Insider Trading Compliance: Key Rules & Ethics
    Discover insider trading laws, implications, and ethical practices to prevent illegal use of non-public information in investment decisions.
  • Understanding and Preventing Market Manipulation
    Comprehensive guide to identify prohibited market manipulation activities and uphold market integrity.
  • Avoiding Unethical Sales Practices in Financial Services
    Learn how to avoid unethical sales practices in financial services, including recognizing prohibited activities and understanding their consequences.
• Master Ethical Practices and Professional Conduct
  Explore compliance departments' role, supervise procedures, and uphold representatives' duties concerning firm policies and regulations.