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ETHICAL VIOLATIONS
(finance related)
1. Insider trading
3. Campaign financing
Improving standards
2.
Comprehensive laws
3.
Weak links
4.
Auditors role
5.
Institutional investors
Code Of Ethics
Protecting the financial interests of clients
Conducting business with high
transparency
Conducting needs analysis before any
product or service recommendations
Respecting and maintaining confidentiality
of any information entrusted to you
Use of only sales illustrations that are
completely accurate and compliant with
state and Central Govt regulations
Knowing when to refer clients to another
professional when a planning situation is
THANK YOU