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Ethics and Compliance in Financial Services: Case Studies and Practical Examples from North America

By Wookjae Heo, John E. Grable
eBook
$99.00
By Wookjae Heo, John E. Grable
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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 eth...