Welcome to the course on ethics and professional integrity.
Client trust is not a marketing concept—it is a regulatory requirement. In the context of investment services, it represents a fundamental condition for providing services in compliance with legal obligations and supervisory expectations. This course develops your ability to navigate situations where commercial pressure, client interest and regulatory requirements intersect.
The course is built on practical, real-life scenarios and focuses on decision-making in situations that do not have a simple “textbook” answer.
During the course, you will learn:
- the principle of acting in the client’s best interest in the context of MiFID II and internal company rules
- how to identify, record and manage conflicts of interest, including less obvious situations
- the rules for handling confidential and inside information and their link to market integrity
- the regulatory framework for inducements and their impact on service provision
- how to recognize improper practices, including market manipulation and misconduct towards clients
The course uses case-based scenarios reflecting real regulatory risks. It includes knowledge checks throughout and a final assessment.
- Učitel: Monika Škubalova