Currencies:HKD

You have no items in your shopping cart.

Coming Soon Ethics and Compliance in Financial Services: Case Studies and Practical Examples from North America

Ethics and Compliance in Financial Services: Case Studies and Practical Examples from North America

  • Author:
  • Publisher: Palgrave Macmillan
  • ISBN: 9783032144485
  • Published In: June 2026
  • Format: Hardback
  • Jurisdiction: Switzerland ? Disclaimer:
    Countri(es) stated herein are used as reference only
$135.07
Delivery Time: around 4-5 weeks ?Extra 2-10 working days for address outside Hong Kong
Not yet published?

The publication date listed on our site is the latest information we have from the publisher, and that this date may change.

Most pre-orders will be dispatched on, or before publication date and we will make every effort to make sure they arrive with you as close to publication date as we can.

OR
  • Description 
  • Contents 

Details

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.

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

You may also be interested in these books:

Hong Kong Company Secretary's Practice Manual, 6th Edition
Hong Kong Company Secretary's Practice Manual, 6th Edition

List Price: $192.40

$186.63 Save $5.77 (3%)

Hong Kong Company Secretary Checklist, 2nd Edition
Hong Kong Company Secretary Checklist, 2nd Edition

List Price: $179.40

$174.02 Save $5.38 (3%)

Hong Kong Civil Procedure 2026 (The White Book)
Hong Kong Civil Procedure 2026 (The White Book)
$1,779.70
Hong Kong Civil Court Practice (Desk Edition 2026)
Hong Kong Civil Court Practice (Desk Edition 2026)

List Price: $637.00

$541.45 Save $95.55 (15%)

Construction Industry Security of Payment Ordinance in Hong Kong (Hardcopy + e-book)
Construction Industry Security of Payment Ordinance in Hong Kong (Hardcopy + e-book)

List Price: $221.00

$187.85 Save $33.15 (15%)

Criminal Litigation in Hong Kong, 5th Edition (Hardcopy + e-book)
Criminal Litigation in Hong Kong, 5th Edition (Hardcopy + e-book)

List Price: $227.50

$220.68 Save $6.83 (3%)

Hong Kong Tax & Accounting Practical Toolkit (Basic Package)
Hong Kong Tax & Accounting Practical Toolkit (Basic Package)
$473.07
The Hong Kong Company Secretary's Handbook: Practice and Procedure (11th Edition)
The Hong Kong Company Secretary's Handbook: Practice and Procedure (11th Edition)

List Price: $71.63

$69.48 Save $2.15 (3%)

Civil Litigation in Hong Kong, 7th Edition (Hardcopy + e-book)
Civil Litigation in Hong Kong, 7th Edition (Hardcopy + e-book)

List Price: $286.00

$228.80 Save $57.20 (20%)

Butterworths Hong Kong Company Law Handbook, 27th Edition
Butterworths Hong Kong Company Law Handbook, 27th Edition

List Price: $655.20

$635.54 Save $19.66 (3%)

Hong Kong Family Court Practice, 5th Edition
Hong Kong Family Court Practice, 5th Edition

List Price: $392.60

$380.82 Save $11.78 (3%)

Butterworths Hong Kong Discrimination Law Handbook, 4th Edition
Butterworths Hong Kong Discrimination Law Handbook, 4th Edition

List Price: $195.00

$189.15 Save $5.85 (3%)

Sentencing in Hong Kong, 11th Edition
Sentencing in Hong Kong, 11th Edition

List Price: $465.40

$451.44 Save $13.96 (3%)

Butterworths Hong Kong Company Law (Winding-Up and Miscellaneous Provisions) Handbook, 6th Edition
Butterworths Hong Kong Company Law (Winding-Up and Miscellaneous Provisions) Handbook, 6th Edition

List Price: $296.40

$287.51 Save $8.89 (3%)

Tort Law in Hong Kong, 5th Edition (Hardcopy + ebook)
Tort Law in Hong Kong, 5th Edition (Hardcopy + ebook)

List Price: $325.00

$315.25 Save $9.75 (3%)

Clough & Clough on Personal Injuries
Clough & Clough on Personal Injuries

List Price: $195.00

$189.15 Save $5.85 (3%)

Hong Kong Personal Insolvency Manual, 3rd Edition
Hong Kong Personal Insolvency Manual, 3rd Edition

List Price: $260.00

$252.20 Save $7.80 (3%)

Butterworths Hong Kong Conveyancing and Property Law Handbook, 6th Edition
Butterworths Hong Kong Conveyancing and Property Law Handbook, 6th Edition

List Price: $234.00

$226.98 Save $7.02 (3%)

A Practical Guide to Resolving Shareholder Disputes, 2nd Edition
A Practical Guide to Resolving Shareholder Disputes, 2nd Edition

List Price: $234.00

$226.98 Save $7.02 (3%)

Hong Kong Company Law, 15th Edition
Hong Kong Company Law, 15th Edition

List Price: $63.96

$62.04 Save $1.92 (3%)