Ethics and Regulation in the Investment Industry

The aim of the course is to: - Understand the ethical issues in finance and comprehend the importance of sound practices in order to promote equity and efficiency in capital markets. - Understand the importance of regulation in the securities industry and capital markets. - Gain knowledge of the impact of the regulatory process and framework on the operations and professional conduct in capital markets and the securities industry. - Develop competencies in recognizing legal and reputational risks associated with wrongful or illegal practices and find solutions to minimize their negative impact on the conduct of business in finance. - Take into consideration the ethical conduct as an essential success factor in the investment industry. - Develop knowledge of the regulatory process and of the future direction of regulation in capital markets. - Prepare students to pass the Canadian Securities Institute (CSI) exams and the CFA exam section on ethics.