Global Core · GC02
Global Core: Code of Conduct and Professional Ethics
A practical standard for acting with integrity, protecting clients and investors, managing conflicts, using firm resources responsibly and speaking up when conduct falls short.
Designed for practical application.
A practical standard for acting with integrity, protecting clients and investors, managing conflicts, using firm resources responsibly and speaking up when conduct falls short.
What you will be able to do
- Apply investor-first and integrity principles to daily decisions.
- Recognise personal, commercial and organisational conflicts.
- Use approvals and records for gifts, outside activities and exceptions.
- Raise concerns and support a culture of accountability.
Course structure
01
Integrity and investor interests
02
Conflicts and personal interests
03
Gifts, entertainment and outside activities
04
Information, property and accurate records
05
Decisions, exceptions and accountability
06
Speaking up and non-retaliation
Assessment and evidence
ASSESSMENT
Module knowledge checks and a ten-question final assessment; pass mark 80%.
LEARNING EVIDENCE
Authenticated progress, assessment result, completion record and printable certificate.
GC02
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