Business Ethics for Financial Professionals
About This Course
Participants will gain a deep understanding of the fundamental concepts, current best practices, and emerging trends in this area. The program addresses real-world challenges practitioners face and provides concrete strategies for handling common situations effectively.
Specifically designed for financial services regulation professionals, this course covers both foundational principles and advanced applications. Through clear explanations and practical examples, you will develop the skills needed to confidently navigate complex issues and deliver superior results for your clients or organization.
Key topics include regulatory requirements, compliance considerations, strategic decision-making, and risk management. Whether you are new to this area or looking to update your knowledge, this program provides the insights and tools necessary for success in today's evolving professional landscape.
Presented By
David A. Chen open_in_new
Of Counsel • Latham & Watkins LLP
Mr. Chen specializes in intellectual property litigation and licensing, with particular expertise in patent disputes.
Emily R. Davis open_in_new
Senior Associate • Gibson, Dunn & Crutcher LLP
Ms. Davis focuses on environmental law and regulatory compliance, advising clients on climate-related disclosures.
Credits & Accreditations
| Jurisdiction | Credit Type | Credits |
|---|---|---|
| Arkansas | General | 1.5 |
| California | Ethics | 1.0 |
| Colorado | General | 1.0 |
| Connecticut | General | 2.0 |
| Delaware | General | 3.0 |
| Florida | Ethics | 2.0 |
| Georgia | General | 3.0 |
| Indiana | Diversity | 1.5 |
| Kansas | Diversity | 2.0 |
| Louisiana | General | 3.0 |
| Maine | General | 3.5 |
| Maryland | Ethics | 1.5 |
| Massachusetts | General | 3.0 |
| Mississippi | Diversity | 2.0 |
| Montana | General | 1.5 |
| Nevada | General | 1.0 |
| New Hampshire | General | 2.0 |
| Ohio | General | 1.0 |
| Oklahoma | General | 2.0 |
| Pennsylvania | General | 3.0 |
| Rhode Island | General | 3.5 |
| South Dakota | General | 2.0 |
| Vermont | General | 2.5 |
| Washington | General | 2.0 |
NASBA Details
BARBRI, Inc. is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit.