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Ethics in the Financial Services Industry

Compliance Key INC - Financial Services


                                 Lisa M. Marsden
Lisa M. Marsden, IACCP, is Keynote speaker at Compliance Key, Inc. She is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and consulting firms with compliance and project management services. Prior to that, Ms. Marsden was the chief operating officer/chief compliance officer of Financial Trust Asset Management, Boca Raton, Florida.
 Webinar Id: CIFNLM007
 12:30 PM PT | 03:30 PM ET
 11/20/2017
 Duration 60 mins 
Overview
The Application and practice of Ethical behavior is not just about complying with rules and regulations but about doing the right thing. This session will discuss case studies and how to apply the best practical ethical behaviors and how to incorporate the ethical behavior into your firm's overall business culture.
Why should you attend this webinar?
To gain an advantage in the ever evolving regulatory landscape of the financial services industry. Applying an effective ethical culture in any firm will cultivate long term growth and sustainability in an increasingly regulated and scrutinized industry. Clients are requiring that their Financial Advisors be held to a higher standard than most industries. The webinar will review real world scenarios in the financial industry and how to incorporate ethics into the day to day business of the firm.
Areas Covered in the Session:
What is Ethics
  • Why is Ethics Important
  • The Costs of Non Ethical Behaviors
  • Ethics vs. Compliance
  • Ethical Scenarios in the Financial Industry
Who can Benefit:

  • Financial Advisor
  • Investment Manager
  • Portfolio Manager
  • Operations
  • Business Development
  • Chief Compliance Officer
  • Compliance Officer
  • Financial Advisors
  • Compliance
  • Legal
  • General Counsel
  • Compliance Operations
  • CPA CFP CFA IACCP
Compliance Key INC
717-208-8666

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