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Ethics in Financial Services

Ethics in Financial Services

Ethics for the Financial Services Professional


Julie Anne Ragatz

In this age of hedge fund failures, the mortgage market collapse, and corporate meltdowns, the financial planner's desk becomes a major point where the professional can either choose to advise, correct, or facilitate an ethical misstep. The financial services market is huge, encompassing banks, securities firms, insurance companies, mutual fund organizations, investment banks, pension funds, and mortgage lenders-essentially any company doing business in the financial arena. In addition, it is filled with a bewildering array of areas to master, ranging from sophisticated products to sales techniques. Learn how to be exceedingly clear on how to provide ethically for client needs and why the financial services professions exist.

6th edition, ©2016

Price: $165

Item Code: FA290-6-1

ISBN13: 978-1-58293-254-5