X-A chapters / Module 6: Operations, Regulatory Environment, Compliance and Ethics
Chapter 19. Ethical Issues
Ethics for investment advisers: client-first conduct, common grievance areas, ethical dilemmas, fiduciary duty, SEBI's do's and don'ts, audit observations and global best practices.
Total watch time 22 min · Hindi audio
Key topics
- Ethics vs. law and the Client First principle
- Grievance areas: churning, misrepresentation, mis-selling
- Ethical dilemmas and how to resolve them
- Fiduciary duty and disclosure
- SEBI do's and don'ts; finfluencers
- Annual audit observations; SEC and Australian practice
Chapter test
25 multiple-choice questions with explanations. Score 60% or more to complete this chapter.
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