Financial Services _Çô Client Services RFC126 Chapter Notes - Chapter 2: Personal Bankruptcy, Robert Earnshaw, Life Insurance

• School: Seneca College
• Department: Financial Services _Çô Client Services
• Course: Financial Services _Çô Client Services RFC126
• Professor: marie

Document Summary

(cid:862)the p(cid:396)i(cid:374)(cid:272)iples of (cid:272)o(cid:374)du(cid:272)t go(cid:448)e(cid:396)(cid:374)i(cid:374)g a(cid:374) i(cid:374)di(cid:448)idual o(cid:396) a g(cid:396)oup. (cid:863) Ethics defined the standard of conduct to which you and members of your group are expected to adhere. Example: tom and peter are using their office computers to book movie ti(cid:272)kets du(cid:396)i(cid:374)g thei(cid:396) lu(cid:374)(cid:272)h (cid:271)(cid:396)eaks. To(cid:373)"s (cid:272)o(cid:373)pa(cid:374)(cid:455) poli(cid:272)(cid:455) p(cid:396)ohi(cid:271)its pe(cid:396)so(cid:374)al i(cid:374)te(cid:396)(cid:374)et use o(cid:374) offi(cid:272)e (cid:272)o(cid:373)pute(cid:396)s. pete(cid:396)"s company policy prohibits personal internet use during office computer times. Tom has performed an unethical act since his action is in (cid:448)iolatio(cid:374) of his (cid:272)o(cid:373)pa(cid:374)(cid:455)"s sta(cid:374)da(cid:396)d of (cid:272)o(cid:374)du(cid:272)t. Pete(cid:396) has (cid:374)o (cid:448)iolated his (cid:272)o(cid:373)pa(cid:374)(cid:455)"s ethi(cid:272)al sta(cid:374)da(cid:396)d as his actions is within his co(cid:373)pa(cid:374)(cid:455)"s (cid:396)ules. Illustrate behavior that is unethical, but does not involve a regulatory breach: marianne, a dealing representative, has been given a cheque for. ,000 by one of her clients, with specific instructions to buy additional units for ,000 in each of the 5 mutual funds in the (cid:272)lie(cid:374)t"s po(cid:396)tfolio. Ma(cid:396)ia(cid:374)(cid:374)e deposits the (cid:272)he(cid:395)ue i(cid:374) he(cid:396) pe(cid:396)so(cid:374)al account.