معهد الدراسات المصرفية

المملكة الأردنية الهاشمية

Professional Standards and Ethics for Investment Advisors


المحاضر تاريخ البداية تاريخ النهاية توقيت البداية توقيت النهاية مكان الانعقاد عدد الساعات سجّل الآن
سارة عادل الطراونة
2018-07-18 2018-07-22 16:15 20:15 عمان 12
سجّل الآن

(Objectives / الأهداف)

:

At the conclusion of this course , the participant should be able to:

Describe responsibilities of an investment professional, as required by the Amman Stock Exchange (ASE) Code of Ethics and the Securities Depository Center (SDC) By-Laws and Code of Conduct.

Identify breaches of fiduciary duties to customers, including sales practices, conflicts of interests, disclosure requirements, and the appropriate basis for making recommendations.

Describe the responsibilities of an employee and the employee’s duty of loyalty to an employer.

Identify each of the ethical responsibilities of supervisors.

Explain how ethical standards preserve market integrity.


(Contents / المحتويات)

:

- Code of Ethics of Amman Stock Exchange:
- Securities Depository Center: The Internal By-Laws of the Membership and Code of Conduct.

- Professional Standards:

     - Professional Standards Encourage Investment Professionals.

     - Application to the Investment Professional's Practices.

- Know and Comply with Laws, Rules, and Regulations.

     - Applications.

- Fiduciary Duties to Customers:

     - Fair Dealing.

     - Priority of Transactions.

     - Reasonable Basis and Representations.

     - Representations and Disclosures in Reports and Presentations.

     - Representations of the Investment Professional and the Firm.

     - Independence and Objectivity.

     - Moving Clients' Portfolios to Obtain Commissions (Also Known as "Churning”).

     - Use of Client’s Funds.

     - Using False Information to Inflate the Price of a Security (Also Known as "Pumping and Dumping") .

     - Fraudulent Activities.

    - Interactions with Clients and Prospects:

     - Investment Recommendations and Actions.

- Relationships with, and Responsibilities to, Employers:

     - Duty to Employer.

     - Disclosure of Conflicts to Employer.

     - Responsibilities of Supervisors.

- Relationships with, and Responsibilities to, the Profession:

     - Professional Misconduct.



(Participants / المشاركون)

:

 - Investment advisors and brokers in the local financial market.

- Private investors in the stock market.