Download or read book California financial services industry ethics training written by Maud I. Pruiett and published by . This book was released on 2012 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Model Rules of Professional Conduct written by American Bar Association. House of Delegates and published by American Bar Association. This book was released on 2007 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.

Download or read book Ethics in Finance written by Kara Tan Bhala and published by Springer Nature. This book was released on 2023-06-28 with total page 134 pages. Available in PDF, EPUB and Kindle. Book excerpt: This award-winning book comprises multiple finance and ethics case studies. The purpose of the book is twofold. First, the case studies teach readers how to evaluate and determine resolutions to ethical issues in finance. Second, the reader will enjoy a journey with the author, a woman, over her years working in finance, through the use of case studies. Prefaced by the additional of video introductions, these studies focus on ethical issues in finance which the author encountered over nearly a 30-year career in the industry. There are 10 case studies extracted from different sectors of finance. This broad range is a consequence of the author’s experience from almost all sides of the business: the buy side, the sell side, equity research in Asia, equity sales, mutual funds, hedge funds, the finance academy, and consulting. Each case study has an engaging narrative describing the background, transactions, players, and ethical issues. The ethical issue is analyzed and resolved using the appropriate theories of moral philosophy. Descriptions and analyses are rigorous yet comprehensible, approachable, and entertaining. Apart from ethics determinations, the material in the book covers and explains a variety of specific, and even complex, financial transactions. In every transaction there is an explanation of the roles of various players involved. In this way, readers will learn about the work of people in different positions in finance from investment bankers and equity traders to portfolio managers and equity analysts. Through these case studies, readers also will get an understanding of major financial transactions and activities such as IPOs, secondary offerings, equity trading, and equity valuations. The book will appeal to practitioners, college and high school students, and lecturers who can use it to supplement courses in finance or business ethics.

Download or read book Ethics Management in Banking and Finance written by Boudewijn de Bruin and published by . This book was released on 2015 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: In the wake of the global financial crisis, the financial services industry has attracted caustic criticism for its lack of ethics. Assets have been mismanaged, customers misled, governments misused, risks miscalculated, and rating agencies misinformed. Do banks and bankers not know what they ought to do, morally speaking? Do finance firms not know the ethical risks of their operations? Do they not see what their clients and society expect from them? The Edelman Trust Barometer seems to provide an answer to this question: finance is the most distrusted industry worldwide (Edelman 2013). While the public's distrust of bankers is explicable, it is, I believe, based on exaggerated and often ill-informed views. This is not to say, however, that banks should not do their utmost to improve their morals. This chapter surveys a number of practical tools and techniques which banks could use to boost ethics management. The chapter floats a new form of stakeholder engagement based on deliberative democracy, gives an example of a trust-centred ethics training programme developed with a finance firm in the Netherlands, and critically evaluates the idea of a professional code of ethics for bankers.Here I first discuss communication with external stakeholders (clients, government, NGOs, etc.) and suggest that the financial services industry would benefit from using a tool that is gaining popularity in political decision-making: deliberative polls. I then turn to ways in which financial firms can communicate with their employees and give an example of an ethics training programme inspired by O'Neill's views of trust, which were discussed in Chapter 7. Finally, I consider codes of ethics, arguing that while several codes may have relevance in finance and banking, pleas for a professional code for bankers are based on conceptual and empirical misunderstandings, and should not be heeded.

Download or read book Ethical Issues And Compliance At The Bank Of America written by Marvin Namanda and published by GRIN Verlag. This book was released on 2016-04-04 with total page 18 pages. Available in PDF, EPUB and Kindle. Book excerpt: Research Paper (undergraduate) from the year 2014 in the subject Business economics - Business Management, Corporate Governance, grade: 97.00, La Trobe University Melbourne, language: English, abstract: This report analyses the external and internal business environments that could be the cause of the ethical lapses; giving steps towards mitigating the lapse. Ethical issues and compliance are a challenge facing Bank of America. Ethical issues affect all the stakeholders in a given business. There has been a perception that the financial institutions across the world tend to be more unethical than any other forms of business. This perception could be justified by the issues facing Bank of America. Complaints of constant lapses in the ethical culture of the bank are rife. The most recent ethical scandal was where the bank is accused to be only interested in short-term returns and not paying attention to the products that are suitable for customers. According to Mujtab (2010:23), the implementation of the Payment Protection Insurance by the Bank of America is an unacceptable measure in respect to the Finance Act (2001). This insurance policy saw overdraft charges being imposed on small business account holders. Interest swaps were also charged on small business holders, a thing that is only done on large corporations by other banking institutions. On the 25 June 2012, the Financial Services Authority (FSA) announced that it had found numerous errors in the way Bank of America had sold complex financial products to around 25,000 small and medium sized businesses. These interest swabs were designed to protect small-sized business customers. However, the mis-selling by the bank resulted to severe effects on the small businesses. The ethical concerns raised here were that the policy was too complex for the business owners to appreciate and that the product was conditional upon the clients. The bank has come under immense public condemnation calling for cultural and management change.

Download or read book Ethics in Finance written by and published by John Wiley & Sons. This book was released on 2013-12-02 with total page 299 pages. Available in PDF, EPUB and Kindle. Book excerpt: The third edition of Ethics in Finance presents an authoritative and wide-ranging examination of the major ethical issues in finance. This new edition has been expanded and thoroughly updated with extensive coverage of the recent financial crisis and the very latest developments within the financial world. Substantially updated new edition with nearly 40% new material, including sections on credit cards, mortgage lending, microfinance, risk management, derivatives, and securitization Includes coverage and references to the recent financial crisis and the very latest developments within the financial world Focuses on the practical issues that confront finance professionals, policy makers, and consumers of financial services Cites examples of the scandals that have shaken public confidence in Wall Street and world financial markets Includes numerous examples throughout to illustrate the concepts and issues described within the text

Download or read book POST Career Ethics integrity Training Guide written by California. Commission on Peace Officer Standards and Training and published by . This book was released on 1988 with total page 136 pages. Available in PDF, EPUB and Kindle. Book excerpt: It is the purpose of this guide to provide law enforcement agencies and course presenters with a recommended training program when considering the need to increase awareness about ethical decision-making. The guide describes presentation methodology and course content.

Download or read book Business Ethics and Communication For CA IPCC written by Rathore P.S. and published by S. Chand Publishing. This book was released on with total page 181 pages. Available in PDF, EPUB and Kindle. Book excerpt: 1. Essentials Of Communication 1–28 2. Interpersonal Skill 29–41 3. Group Dynamics 42–52 4. Communication In Business Environment 53–64 5. Principles Of Business Ethics 65–85 6. Environment And Ethics 86–95 7. Workplace Ethics 96–106 8. Ethics In Marketing And Consumer Protection 107–114 9. Ethics In Accounting And Finance 115–119 10. Communication Ethics 120–125 11. Communication Corporate Culture, Change And Innovative Spirits 126–138 12. Corporate Governance And Corporate Social Responsibility 139–150 13. Basic Understanding Of Legal Deeds And Documents 151–163 • Essentials Of Good English 164–173

Download or read book strategic Financial Management for CA Final New Course written by CA Manoj Kumar Jain and published by CA M K JAIN. This book was released on with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: This Book is Primarily Meant for those who are appearing for CA Final New Course

Download or read book Educating in Ethics Across the Professions written by Richard M. Jacobs and published by IAP. This book was released on 2022-08-01 with total page 294 pages. Available in PDF, EPUB and Kindle. Book excerpt: Educating in Ethics for the Professions: A Compendium of Research, Theory, Practice, and an Agenda for the Future offers a state-of-the-art discussion on the part of applied (“professional”) ethics educators who describe the teaching of ethics for their professions and who collectively represent a wide-ranging array of professions. The volume begins with an overview of the topics, contested ideas, and challenges confronting applied ethics educators, across the generations, providing a foundation from which the concept of ethics education as an integral formation frames each contributor’s historical overview identifying how research, theory, and practice have evolved in each profession to this day. These discussions then turn to the topics, contested ideas, and challenges emerging in contemporary discourse. Each discussion culminates with suggestions regarding what ethics educators must consider for the future. The volume closes with a synthesis of the commonalities among and differences between the discussions representing diverse professional perspectives, yet framing this history as well as identifying an agenda for teaching applied ethics in the future.

Download or read book California Ethics Course written by Bisk Education and published by . This book was released on 2012-08-01 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book 2024 Culture Conduct Risk in the Banking Sector written by Stephen Scott and published by Starling Insights, Inc.. This book was released on 2024-06-11 with total page 518 pages. Available in PDF, EPUB and Kindle. Book excerpt: Starling is pleased to offer the seventh edition in its annual Compendium series for 2024, a comprehensive report detailing the priorities and activities of bank regulators regarding firm culture and conduct risk management. This year's report features contributions from more than 30 senior banking industry executives, regulators and central bankers, international standard-setters, and academics. We also report on major developments, events, and analysis on culture & conduct risk management supervision across major global financial markets.

Download or read book Investments written by Michael McMillan and published by John Wiley & Sons. This book was released on 2011-01-11 with total page 648 pages. Available in PDF, EPUB and Kindle. Book excerpt: A comprehensive guide to investment analysis and portfolio management by an expert team from the CFA Institute In a world of specialization, no other profession likely requires such broad, yet in-depth knowledge than that of financial analyst. Financial analysts must not only possess a broad understanding of the financial markets-including structure, organization, efficiency, portfolio management, risk and return, and planning and construction-but they must also have a strong sense of how to evaluate industries and companies prior to engaging in an analysis of a specific stock. Investments: Principles of Portfolio and Equity Analysis provides the broad-based knowledge professionals and students of the markets need to manage money and maximize return. The book Details market structure and functions, market anomalies, secondary market basics, and regulation Describes investment assets and asset classes, types of positions and orders, as well as forecasting methodologies Discusses return and risk characteristics, portfolio diversification and management, the basics of both technical analysis and major technical indicators, and much more A companion Workbook, which includes learning outcomes, summary overviews, and problems and solutions sections is available and sold separately Investments provides readers unparalleled access to the best in professional quality information on investment analysis and portfolio management.

Download or read book Ethical Theory and Business written by Denis G. Arnold and published by Cambridge University Press. This book was released on 2019-12-19 with total page 619 pages. Available in PDF, EPUB and Kindle. Book excerpt: Ethical Theory and Business is the authoritative guide to business ethics and CSR, with cutting edge theoretical readings and cases.

Download or read book The Financial Crisis Inquiry Report written by Financial Crisis Inquiry Commission and published by Cosimo, Inc.. This book was released on 2011-05-01 with total page 692 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Financial Crisis Inquiry Report, published by the U.S. Government and the Financial Crisis Inquiry Commission in early 2011, is the official government report on the United States financial collapse and the review of major financial institutions that bankrupted and failed, or would have without help from the government. The commission and the report were implemented after Congress passed an act in 2009 to review and prevent fraudulent activity. The report details, among other things, the periods before, during, and after the crisis, what led up to it, and analyses of subprime mortgage lending, credit expansion and banking policies, the collapse of companies like Fannie Mae and Freddie Mac, and the federal bailouts of Lehman and AIG. It also discusses the aftermath of the fallout and our current state. This report should be of interest to anyone concerned about the financial situation in the U.S. and around the world.THE FINANCIAL CRISIS INQUIRY COMMISSION is an independent, bi-partisan, government-appointed panel of 10 people that was created to "examine the causes, domestic and global, of the current financial and economic crisis in the United States." It was established as part of the Fraud Enforcement and Recovery Act of 2009. The commission consisted of private citizens with expertise in economics and finance, banking, housing, market regulation, and consumer protection. They examined and reported on "the collapse of major financial institutions that failed or would have failed if not for exceptional assistance from the government."News Dissector DANNY SCHECHTER is a journalist, blogger and filmmaker. He has been reporting on economic crises since the 1980's when he was with ABC News. His film In Debt We Trust warned of the economic meltdown in 2006. He has since written three books on the subject including Plunder: Investigating Our Economic Calamity (Cosimo Books, 2008), and The Crime Of Our Time: Why Wall Street Is Not Too Big to Jail (Disinfo Books, 2011), a companion to his latest film Plunder The Crime Of Our Time. He can be reached online at www.newsdissector.com.

Download or read book Business Challenging Business Ethics New Instruments for Coping with Diversity in International Business written by Jacek Sójka and published by Springer Science & Business Media. This book was released on 2012-12-06 with total page 209 pages. Available in PDF, EPUB and Kindle. Book excerpt: Increasingly companies' stakeholders require organisations to observe international standards prescribed by international laws, treaties, conventions, recommendations, and/or codes of conduct. The papers selected for this volume explore 1) the ethical pressures on international business to meet the challenges of diversity, 2) suggested methods of coping with diversity, and 3) the challenges required to overcome corporate self-interest in the search for new instruments. Collectively these articles reflect scholarly insights and corporate responses to diversity in international business, a topic of wide interest in contemporary business ethics.

Download or read book Ethics for the Financial Services Professional written by Julie Ragatz and published by . This book was released on 2010-01-01 with total page 215 pages. Available in PDF, EPUB and Kindle. Book excerpt: This publication provides a practical framework for making ethical business decisions in the financial services industry.This course examines legal, compliance and pratice standards that apply to the financial services professional. The course also investigates ethical approaches to placing financial products, determining suitability and assessing risk.