Ethics and Compliance in Financial Services
Case Studies and Practical Examples from North America
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Beschreibung
This textbook comprehensively compiles and describes core financial services-related ethics, compliance, and relevant regulatory standards of practice. It rests on a foundation of theory related to rulemaking, standards enforcement, and ethics with each chapter focusing on the behavioral and psychological factors associated with creating and managing ethical client-focused ethical practices. It includes practical examples of ethics violations and the actions that can be taken to address ethical lapses while also describing cognitive biases and behavioral outcomes related to rules, regulations, and ethical guidelines in the financial services profession. The book includes supplementary materials such as PowerPoints slides, practice test questions, videos, and regulatory updates, and will be of use to students in financial services including CFA and CFP programs alongside financial services professionals.
Wookjae Heo is an Assistant Professor of Financial Counseling and Planning at the Division of Consumer Science at Purdue University. He is currently teaching financial planning courses at Purdue including Ethics and Compliance in Financial Planning. Dr. Heo's main research interest is broadly related to financial behavioral intervention, financial stress, life insurance, and data mining/data analysis in financial planning.
John Grable, CFP®, teaches and conducts research in the Certified Financial Planner Board of Standards Inc. undergraduate and graduate programs at the University of Georgia where he holds an Athletic Association Endowed Professorship. Prior to entering the academic profession, he worked as a pension/benefits administrator and later as a Registered Investment Adviser in an asset management firm. Dr. Grable has served the financial planning profession as the founding editor of the Journal of Personal Finance and co-founding editor of the Journal of Financial Therapy and Financial Planning Review.
This textbook comprehensively compiles and describes core financial services-related ethics, compliance, and relevant regulatory standards of practice. It rests on a foundation of theory related to rulemaking, standards enforcement, and ethics with each chapter focusing on the behavioral and psychological factors associated with creating and managing ethical client-focused ethical practices. It includes practical examples of ethics violations and the actions that can be taken to address ethical lapses while also describing cognitive biases and behavioral outcomes related to rules, regulations, and ethical guidelines in the financial services profession. The book includes supplementary materials such as PowerPoints slides, practice test questions, videos, and regulatory updates, and will be of use to students in financial services including CFA and CFP programs alongside financial services professionals.
Provides a one-stop shop on the rules, regulations, and ethical standards for financial services professionals Features practical examples of ethics violations and the actions that can be taken to address ethical lapses Includes supplementary material such as PowerPoints, practice test questions, videos, and regulatory updates
Autor*in
Wookjae Heo
Themen in »Ethics and Compliance in Financial Services«
Financial planning Ethics in finance Ethics in financial services Ethics and compliance Financial advise Financial advising CFA CFP Case studies in finance Ethics and Compliance in financial services Insider Trading Market Manipulation Data Privacy and Cybersecurity regulatory developments client suitability and best interest