Description: Workshop on ethics for investment professionals
Rik Albrecht, CFA, CPE
ESMA Guidelines
Guideline 14: Firms should ensure that staff providing relevant services possess the necessary knowledge and competence to meet relevant regulatory and legal requirements and business ethics standards. A firm provides regular mandatory training to staff in the area of MiFID conduct of business, and organisational requirements. The firm adopts a code of ethics to set forth the standards of business conduct and behaviour necessary for the proper provision of relevant services and obtain written acknowledgemen