← back to previous section

Ethics for Financial Planners online course

The purpose of this short course is to investigate ethical considerations for financial planners. Topic 1 begins by taking a closer look at the relevant definitions. We then continue by looking at different examples of codes of ethics in the financial planning industry and we notice that there seems to follow a golden thread throughout the various identified principles, one that is closely related to the Financial Advisory and Intermediary Services’ (FAIS’s) General Code of Conduct (GCOC).

This course also considers a determinations from the Office of the Ombud for Financial Services Providers (FAIS Ombud) that highlight a deviance from both the GCOC and Treating Customers Fairly (TCF) principles.

Once you have successfully completed this course, you will be able to:
  1. Explain the terms ‘ethics’ and ‘codes of good conduct’, and their relevance to the financial planning industry
  2. Discuss the legislation that has been put in place to support ethical behaviour in the financial planning industry
  3. Explain the importance of ethical conduct in the financial planning industry, by using examples from previous determinations of the FAIS Ombud and its representatives.

Online course details

Online course registration

 

Register for this online course →

See more online courses →

Receive the latest CPD events in our newsletter.

Cyber Security training that works
Make contact with us by email  /  Get real-time CPD updates on Twitter
Terms & conditions  /  Privacy policy  /  Made by DC Interactive  /  Built on Kotive