ComplianceOnline

Ethics in the Financial Services Industry

Instructor: Lisa Marsden
Product ID: 705053
  • Duration: 60 Min
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Read Frequently Asked Questions

The application and practice of ethical behavior is not just about complying with rules and regulations but about doing the right thing. This training program will discuss case studies and how to apply best practical ethical behavior and how to incorporate the ethical behavior into your firm’s overall business culture.

Why Should You Attend:

Gain an advantage in the ever evolving regulatory landscape of the financial services industry. Applying an effective ethical culture in any firm will cultivate long term growth and sustainability in an increasingly regulated and scrutinized industry.

Clients seek to ensure that their financial advisors are held to a higher standard than most industries. This webinar will review real world scenarios in the financial industry and how to incorporate ethics into the day-to-day business of the firm.

Areas Covered in the Webinar:

  • What is Ethics?
  • Understanding Ethics
  • Why Ethics is Important
  • The Client/Investors Perception of Ethics in the Financial Industry
  • The Approach on Developing Ethical Solutions
  • Different Interruptions of What is Ethical
  • Culture vs. Environmental
  • The Costs of Non Ethical Behaviors
  • Ethics vs. Compliance
  • Establishing an Ethical Culture
  • Creating an Ethical Decision Making Framework
  • Society Benefits of Ethical Behavior
  • Ethical Scenarios in the Financial Industry

Who Will Benefit:

  • Audit and Compliance Personnel/Risk Managers
  • Operations Managers
  • Chief Operating Officers
  • Attorneys
  • Investment Management/Portfolio Managers/Research Analyst
  • Compliance Consulting Firms
  • Client Service Managers
Instructor Profile:
Lisa Marsden

Lisa Marsden
President and Founder, Coulter Strategic Services

Lisa M. Marsden, IACCP ®, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial Aisors and compliance consulting firms with compliance and project management services. Coulter Strategic Services also provides customized compliance training. Prior to starting her own firm, Ms. Marsden was a partner and member of the C-Suite at Financial Advisory Firms in Boca Raton Florida. She has been in the financial services industry for over 25 years. Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate, issued through the CFA Institute.

Ms. Marsden currently serves on the Executive Committee of the Financial Planners Association of Greater Fort Lauderdale.

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Refund Policy

Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange.

Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time.

If you have any concern about the content of the webinar and not satisfied please contact us at below email or by call mentioning your feedback for resolution of the matter.

We respect feedback/opinions of our customers which enables us to improve our products and services. To contact us please email customercare@complianceonline.com call +1-888-717-2436 (Toll Free).

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