Ethics, Culture & Conduct in Financial Services
You’re just shy of revenue and funds under management performance targets, with the end of the quarter looming. A client’s risk profile is on the cusp of being ‘growth’ and ‘high growth’, but if you determine it is ‘high growth’ you can offer a solution that includes gearing and thereby boosts your performance metrics.
- What should you do?.......
Organisation Culture and Conduct
- Does your organisation actively practise its company values or is there misalignment of policies, procedures and conduct versus company values?
- What cultural, operational and regulatory challenges does your workplace face in trying to foster ethical attitudes and behaviours?
Ethical Dilemmas for your organisation
We offer an insightful series of Ethics, Culture & Conduct case studies to challenge individual and organisational behaviours to promote good governance in your organisation.
Each case study considers the following:
A description of the situation, adapted from real events observed, or complaints to the Ombudsmen, or published court cases
An outline of the dilemma faced by the protagonist
Consideration of the environment in which the protagonist operates
Relevant news, legislation, outcomes of inquiries
Reflection questions throughout that can be used for group discussions
Consideration of the company values
The outcome and consideration of how the issue may be avoided
Assessment Questions that are designed as a reflection exercise for individuals completing the case study