Breakout 3A – Code of Ethics: Regulatory Requirements and Industry Standards

Attendees will gain an understanding of the basic building blocks of the Code of Ethics (“COE”) as well as, how and why sound ethical standards are vital to the firm’s business model and its future success.

Learning Objectives:

  • Identify tone at the top and top down approach – outline of what and who is included in the COE based on type of firm, size, internal organizational structure
  • Analyze conflicts of interest – review issues and perspectives from management to employees (including personal trading), products, clients, vendors, communities, industry, etc.
  • Examine initial and ongoing training – review plans, programs and attestations
  • Distinguish requirement differences between IA Codes of Ethics (Rule 204a-1) and BD Codes of Ethics (FINRA Rule 2010) and how to navigate for dual registrants