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商品詳細
Ethics and Compliance in Financial Services : Case Studies and Practical Examples from North America.
・ISBN 978-3-032-14448-5 hard EUR 89.99
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| 著者・編者 | Heo, Wookjae / Grable, John E., |
|---|---|
| 出版社 | (Palgrave Macmillan, UK) |
| 出版年月 | 2026.05 |
| ページ数 | 355 pp. |
| 言語 | ENG |
| ニュース番号 | ＜768-255 768-368＞ |
解説
This textbook comprehensively compiles and describes core financial services-related ethics, compliance, and relevant regulatory standards of practice. It rests on a foundation of theory related to rulemaking, standards enforcement, and ethics with each chapter focusing on the behavioral and psychological factors associated with creating and managing ethical client-focused ethical practices. It includes practical examples of ethics violations and the actions that can be taken to address ethical lapses while also describing cognitive biases and behavioral outcomes related to rules, regulations, and ethical guidelines in the financial services profession. The book includes supplementary materials such as PowerPoints slides, practice test questions, videos, and regulatory updates, and will be of use to students in financial services including CFA and CFP programs alongside financial services professionals.