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

Banking / Finance

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

Edited by Wookjae Heo · John E. Grable
New Arrival Palgrave Macmillan June 2026

Specifications

ISBN-13
9783032144485
Publisher
Palgrave Macmillan
Publication
June 2026
Format
Hardback
Jurisdiction
Switzerland ? Countri(es) for reference only

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.

Table of Contents

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
HKD 1,039.00

Inclusive of HK delivery

Ready to ship
Delivery Time: around 4-5 weeks
Extra 10 working days if shipping address outside Hong Kong
  • Free HK shipping over HK$1,000
  • International shipping to 35+ countries
Order Form
Save

Recommended

You may also be interested in these books:

More titles from Banking / Finance

View all
The Enforcement of Securities Law in China: A Law and Economics Assessment
Springer-Verlag

The Enforcement of Securities Law in China: A Law and Economics Assessment

Wenming Xu
HKD 1,196.00
Fisher & Lightwood's Law of Mortgage, 3rd Australian Edition
LexisNexis Australia

Fisher & Lightwood's Law of Mortgage, 3rd Australian Edition

Edward Tyler; Peter Young; Clyde Croft
HKD 1,539.00
Legal Accountability in EU Markets for Financial Instruments: The Dual Role of Investment Firms
Oxford University Press

Legal Accountability in EU Markets for Financial Instruments: The Dual Role of Investment Firms

Carl Fredrik Bergström; Magnus Strand
HKD 1,513.20
Australian Banking and Finance Law and Regulation
Cambridge University Press

Australian Banking and Finance Law and Regulation

Han-Wei Liu; Weiping He
HKD 1,196.98
Credit rating agency liability in Europe: Rating the combination of EU and national law in rights of redress
Eleven International Publishing

Credit rating agency liability in Europe: Rating the combination of EU and national law in rights of redress

D.J. Verheij
HKD 1,336.65
Garrow and Fenton's Law of Personal Property in New Zealand, 7th edition - Volume 1
LexisNexis New Zealand

Garrow and Fenton's Law of Personal Property in New Zealand, 7th edition - Volume 1

Roger Fenton
HKD 1,188.52