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
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