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Chapter 1: Standards of Conduct and Ethics

In this section

  • Standards of Conduct and Ethics
    Discover the cornerstone principles and guidelines that ensure integrity, fairness, and professionalism in the Canadian securities industry through practical insights, illustrative examples, and real-world scenarios.
  • Integrating Ethics with Industry Rules
    Discover how to align personal and organizational ethical values with Canadian regulatory requirements. Explore the synergy between moral conduct and compliance in the finance industry, and learn practical strategies for building and sustaining an ethical culture based on CIRO guidelines.
  • Rules of Thumb to Guide the Conduct of Registered Representatives
    Essential guidelines and practical strategies to help Registered Representatives navigate ethical responsibilities, prioritize client interests, and maintain professional standards in the Canadian financial industry.

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Chapter 2: Ethical Decision Making