Chapter 1: Standards of Conduct and Ethics

In this section

• Standards of Conduct and Ethics: Essential Guidelines for Securities Professionals
  Explore the fundamental standards of conduct and ethics governing securities professionals in Canada, including integrity, fairness, transparency, and compliance with CIRO regulations. Learn how ethical practices protect clients, prevent misconduct, and maintain public trust in financial markets.
• Integrating Ethics with Industry Rules: A Comprehensive Guide for Financial Professionals
  Explore how financial professionals can effectively integrate ethical principles with industry rules and regulatory compliance, enhancing organizational integrity and fostering ethical decision-making.
• Rules of Thumb for Registered Representatives: Ethical Conduct and Best Practices
  Explore essential rules of thumb guiding registered representatives in ethical decision-making, prioritizing client interests, transparent communication, due diligence, confidentiality, conflict management, and continuous professional development.