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Ethics: Code of Conduct

Overview

This course will introduce the learner to the code of conduct by which all employees must abide at the institution. The course will familiarize the learner with various aspects of the code, including policies on insider trading, outside activities, and conflicts of interest. After completing this course, the learner will understand:

  • What constitutes a violation of the code of conduct.
  • Why excellence is important to the institution and how the learner can contribute to the success of the organization.
  • What constitutes prohibited financial interests and how they can be avoided.

Contents

T1. Committed to Excellence: This topic will introduce the learner to his/her expectations in being committed to excellence, which includes understanding risk, using good judgment, and practicing responsible financial conduct.

T2. At the Organization: This topic will focus on the ways in which the financial institution seeks to protect its reputation by outlining workplace prohibitions, defining equal employment opportunity, and explaining expectations regarding supplies, telephones, email, and the internet.

T3. Use of Information and Insider Trading: This topic will stress the importance of the appropriate use of information by outlining procedures for handling confidential information appropriately and explaining how insider trading occurs and how it can be avoided.

T4. Outside Activities: This topic will focus on the learners representation of the financial institution and will familiarize him/her with special instructions regarding employee involvement in activities such as outside employment and compensation, politics, and volunteering.

T5. Violations of the Code: This topic will familiarize the learner with the processes by which s/he must report violations of the Code of Conduct, including the information these reports should include and the importance of confidentiality in reporting.

T6. Conflicts of Interest and Use of Position: This topic will define conflict of interest and will provide the learner with steps to take to avoid conflict situations.

T7. Prohibited Financial Interests: This topic will familiarize the learner with prohibited financial interests and will provide examples of such prohibited interests, which include divided loyalties and related parties.

T8. Gifts, Meals, and Entertainment: This topic will provide the learner with a list of prohibited gifts and services that may not be accepted, in addition to a list of explanations of exceptions.

Please note that any legal and compliance references in this course will pertain to US legislation.