FIN 800 Lecture : FIN800.pdf
22 Apr 2014
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Document Summary
Think about some of the rules and regulations that govern the financial services sector. Think about why those rules often don"t work. Get you to think about your own ethics. I want to get you to think about how your decisions will impact upon others. Do something that you want to do (what does this have to do with ethics?) Think twice before getting yourself into a situation where you"ll be tempted (con?) Peter farber case (didn"t get clients approval but he got spouses approval, the spouse then wanted to do something crazy now in a bad position) As a member of the cfa institute you must: Applicable law is the law that governs your conduct. In the absence of laws or regulations governing a particular action, follow the code and. Comply with the code, law standard that imposes greater restriction on the action or requires greater effort to protect investor interests.
