Code of Ethics

Step Type: Text

What learners will learn:
Why a Code of Ethics is critical for financial institutions and how it guides behavior.

Step Description:
Financial institutions must follow a Code of Ethics to remain compliant. In this step, you'll review what a Code of Ethics is, how it fosters trust and transparency, and why it's essential for both operations and relationships.

Summary of Content
This step introduces the Code of Ethics in financial institutions, emphasizing its role in guiding professional behavior and building trust. It outlines the core principles that support ethical conduct and highlights the importance of integrity, confidentiality, accountability, fairness, and legal compliance.

Key Topics Covered

Step Type: Polygraph

What learners will learn:
What a Code of Ethics is and why financial institutions must implement and uphold one.

Step Description:
What is a Code of Ethics, and why is it important that every financial institution have one? In this step, we’ll separate fact from fiction.

Summary of Content:
This activity tests learners' understanding of the purpose, impact, and core components of a financial Code of Ethics. It explores why ethical behavior is vital in financial services and how it protects the institution and its clients.

Key Topics Covered

Step Type: Streak

What learners will learn:
The foundational ethical principles that guide behavior within financial institutions.

Step Description:
What are the core principles of a Code of Ethics? In this step, we explore the fundamental values that form the ethical backbone of financial institutions.

Summary of Content:
Learners will be asked to identify key ethical principles such as integrity, confidentiality, fairness, accountability, and legal compliance. The step reinforces how each principle supports ethical behavior and shapes a culture of trust.

Key Topics Covered

Step Type: Text

What learners will learn:
Why ethical compliance matters and how regulations support ethical conduct in financial institutions.

Step Description:
A Code of Ethics is essential to a financial institution’s operations. In this step, we explore the importance of ethical compliance and how it relates to regulations and operational success.

Summary of Content
This step explains the importance of a Code of Ethics in financial institutions, outlines key regulations that enforce ethical conduct, and highlights common ethical challenges in the industry. It emphasizes the role of ethics in maintaining trust, compliance, and reputation.

Key Topics Covered

Step Type: MultiChoice

What learners will learn:
Why ethical codes are critical for building trust, compliance, and a strong institutional culture.

Step Description:
In this active recall step, learners will explore why a Code of Ethics is essential to the operations of a financial institution.

Summary of Content:
The activity reinforces how a strong Code of Ethics builds client trust, supports decision-making, prevents misconduct, and fosters a strong corporate culture. Multiple-answer format highlights the various benefits and regulatory roles of a Code of Ethics.

Key Topics Covered

Step Type: True or False

What learners will learn:
How a Code of Ethics supports compliance with key financial regulations.

Step Description:
This active recall step challenges learners to evaluate the connection between regulatory frameworks and internal codes of ethics.

Summary of Content:
Through a series of true or false statements, learners will reinforce their understanding of how key regulations like SOX, Dodd-Frank, FCPA, GLBA, and SEC/FINRA rules relate to ethical conduct in financial institutions.

Key Topics Covered

Step Type: Streak

What learners will learn:
Common ethical dilemmas in financial institutions and strategies for addressing them.

Step Description:
In this step, learners will identify ethical challenges and explore how a Code of Ethics helps navigate them.

Summary of Content:
Scenarios focus on real-world ethical challenges such as conflicts of interest, client confidentiality, cultural differences, and whistleblower fears. The content encourages recognition and proactive response.

Key Topics Covered

Step Type: Crossword

What learners will learn:
A review of core ethical principles, regulations, and terminology related to Codes of Ethics.

Step Description:
Let’s test your mastery of the Code of Ethics course!

Summary of Content:
Learners complete a crossword puzzle covering major concepts such as integrity, compliance, fraud prevention, confidentiality, and regulations like GLBA and FCPA.

Key Topics Covered