Most ethics classes involve an overview of the professional standards and regulatory responsibilities of financial services professionals. Not this class. Instead, we’ll explore real life cases where bad behavior has been identified, investigated and prosecuted. Drawing from both Insurance and Securities worlds, you’ll learn what can happen when a good producer turns bad, or when a registered representative goes to the dark side. Real life case studies and enforcement actions from the mean streets of financial regulation will drive home the importance of ethical decision making, highlighting for each situation what should have gone differently.
- Cost: $139.00
- Date: Friday, September 22, 2023
- Time: 2:30-4:30 ET
- Required Course
- 4 SILA CE Credits
- Instructor(s): Cindy Davidson & Deirdre Patten
Bookings are closed for this event.