 | | |  | To increase awareness of ethical issues & raise the level
of ethical behavior in the financial services industry.
The Center for Ethics in Financial Services promotes ethical behavior through program offerings that go beyond the "rules" of market conduct in an effort to help executives and producers be more sensitive to ethical issues and think more critically about ethical solutions. | | | | | | Ronald F. Duska, Ph.D., the Charles Lamont Post Chair of Ethics and the Professions and Professor of Ethics at The American College and Julie Ann Ragatz, Pre-Doctoral Fellow, The American College Center for Ethics in Financial Services share their insights and analysis of a recent speech delivered by FINRA Chairman and CEO Rick Ketchum. A link to a transcript of the speech is included below. Topics discussed include conflicts of interest, gaps in regulation, suitability and fiduciary responsibility.
Click here to read the transcript of the speech delivered by Rick Ketchum, Chairman & CEO, FINRA
at the Fordham University Ethics and Regulatory Conference on October 2, 2009. | | | |  Bernie Madoff: What Will Happen Now?
Preventing another Bernie Madoff is the focus of this week's discussion between Erin Arvedlund & Larry Barton, Ph.D. | |  Everyone's Talking Ethics
Ronald F. Duska, Ph.D., & Julie Ann Ragatz discuss the use of moral language, terms losing their meaning, principles vs. consequences and the use of moral rhetoric. | | | | | | Business Ethics in the News
$235M Settlement with Trustee in Madoff Liquidation: Posted May 26, 2009
Ethics in CEO Compensation A commentary on the issues: Posted May 22, 2009
Ethisphere Magazine names James A. Mitchell, CLU®, ChFC® to 100 most influential people in business ethics Elite List Recognizes Actions of Influential Individuals During 2008: Posted February 10, 2009 | | | | Recent Ethics Articles
Who Deserves What?
Journal of Financial Service Professionals, September, 2009
Dealing with Financial Crises:
Burden or Opportunity?
Journal of Financial Service Professionals, May, 2009
Corruption, Financial Crises, and the Financial Planner By Ronald F. Duska, PhD, March 2009 | | | | | |  |
California Residents: If you have previously taken and completed Hot Issues in the Ethics of Financial Services, you will not be eligible to receive state CE credit for CE 100 Issues in the Ethics of Financial Services. CE credit can only be given for one or the other.
IL Residents: CE 100 will not meet the required 3 hours of classroom ethics. |
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