Ethics and Standards in Finance

Course Code: FIN 4501

Academic Year: 2021-2022

This course examines ethical issues and standards of professional conduct relevant to business professionals, with an emphasis on financial planners and investment professionals. Students examine the ethical and evaluative issues in business. They explore the role of ethics in a variety of business contexts and functions. Topics include ethical theories including individual and international differences, corporate social responsibility, rights and regulation, as well as ethical issues involving shareholders, employers, suppliers, competitors, and consumers. The CFA Institute's Code of Ethics and Standards of Professional Conduct and the Financial Planning Standards Council's (FPSC's) Standards of Professional Responsibility and other aspects of the financial planning profession are also examined.