Ethics and Compliance in Financial Services

Case Studies and Practical Examples from North America
Erscheinungsjahr 2026
ISBN: 978-3-032-14448-5
Verlag: Springer

Buch, Englisch, 355 Seiten, Format (B × H): 160 mm x 241 mm, Gewicht: 727 g

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 ethical lapses while also describing cognitive biases and behavioral outcomes related to rules, regulations, and ethical guidelines in the financial services profession. The book includes supplementary materials such as PowerPoints slides, practice test questions, videos, and regulatory updates, and will be of use to students in financial services including CFA and CFP programs alongside financial services professionals. 

Zielgruppe

Upper undergraduate

Autoren/Hrsg.

Heo, Wookjae

Grable, John E.

Fachgebiete

• Wirtschaftswissenschaften Betriebswirtschaft Management Compliance
• Wirtschaftswissenschaften Betriebswirtschaft Unternehmensorganisation, Corporate Responsibility Unternehmensethik
• Wirtschaftswissenschaften Finanzsektor & Finanzdienstleistungen Finanzsektor & Finanzdienstleistungen: Allgemeines

Inhaltsverzeichnis

Part 1: Foundations of Ethics and Compliance in the Financial Services Profession.- Chapter 1: Introduction to Ethics in the Financial Services Profession.- Chapter 2: Ethical Theories and Frameworks.- Chapter 3: Ethical Decision-Making in the Financial Services Profession.- Chapter 4: Psychology and Behaviors in the Financial Services Profession.- Part 2: Regulatory Environment and Compliance.- Chapter 5: Regulatory Framework in the Financial Services Profession.- Chapter 6: Historical Changes and Key Regulators.- Chapter 7: Risk Management and Compliance.- Part 3: Areas of Ethical Focus.- Chapter 8: Ethics in Client-Facing Roles.- Chapter 9: Insider Trading and Market Manipulation.- Chapter 10: Data Privacy and Cybersecurity.- Chapter 11: Fair Treatment of Clients.- Part 4: Case Studies and Practical Applications.- Chapter 12: Real-World Case Studies in Ethics and Compliance.- Chapter 13: Developing an Ethical Culture in the Financial Services Profession.- Part 5: Future Trends and Challenges.- Chapter 14: Emerging Trends in the Financial Services Profession.- Chapter 15: The Evolving Role of Ethics in a Digital Age.- Chapter 16: Conclusion and Future Directions.

Über Autor(innen)

Wookjae Heo is an Associate Professor of Financial Counseling and Planning at the Division of Consumer Science at Purdue University. He is currently teaching financial planning courses at Purdue including Ethics and Compliance in Financial Planning. Dr. Heo's main research interest is broadly related to financial behavioral intervention, financial stress, life insurance, and data mining/data analysis in financial planning.

John Grable , CFP®, teaches and conducts research in the Certified Financial Planner Board of Standards Inc. undergraduate and graduate programs at the University of Georgia where he holds an Athletic Association Endowed Professorship. Prior to entering the academic profession, he worked as a pension/benefits administrator and later as a Registered Investment Adviser in an asset management firm. Dr. Grable has served the financial planning profession as the founding editor of the and co-founding editor of the .