Good People. Bad Things.

Ethical Decision-Making

Course Description

Experience proves that not every person operates at the highest levels of ethical decision-making.  Every few years, some corner of our profession seems to be beset with scandal or ongoing debates about issues rooted in ethical concerns.  Most advisors do not knowingly violate a law or policy.  Instead, many ethical violations occur when an advisor is faced with a difficult choice that requires them to balance competing interests where the right thing to do is not clear.

Course Objectives

We’ll discuss what goes on in someone’s mind that allows them to think they can go undetected while committing a fraudulent act.  What are the common set of thinking errors and patterns that each of us can be susceptible to on a regular basis.  Common ethical dilemmas that advisors face in today’s workplace.

What You Will Learn:

• Why ethics matter
• The difference between a compliant-based practice and an ethics-based practice
• Attempts to address financial ethical concerns
• Critical thinking errors common to unethical behavior
• Framework for Ethical Decision-Making
• American Cultural and Societal views on cheating
• American norms for exposing cheaters, whistleblowers or other ethical violators

Course Relevance

Advisers who want to explore how ethics and trust coexist in their practice — and how it affects their relationships with their clients — should plan to attend this session.

This is a 4-hour, interactive course.

Ethics credit available when approved in advance by relevant state authority. Currently approved in AZ and MN.