Knowledge Base

← Ethics, Compliance, and Ethical Organization of Institutions

Questions

Which step of the structured methodology consists of gathering all relevant information for an ethical dilemma?

Precisely identify the ethical problem
Gather all relevant information
Identify the values at stake and rank them
Analyse the legal, ethical, organisational and personal contexts

Which context must be analysed at the fourth step of the structured methodology?

Legal only
Professional only
Legal and professional only
Legal, professional, organisational and personal

What is the absolute priority in the hierarchy of obligations?

Client protection
Market integrity
Compliance with the law
Obligations towards the employer

Professional secrecy can always prevail over the obligation to report market abuse.

True
False

In a financial conflict of interest, which element must take precedence according to the hierarchy of obligations?

Retrocessions received by the firm
The firm's commercial objectives
The client's interests
Personal financial incentives

Definition of an ethical dilemma

Click to see answer

Categorize items by dragging them to the appropriate zones

Items to categorize:

Compliance with the law
Integrity
Protection of personal data
Loyalty to the employer
Categories:

Legal obligations

Organisational values

A simple ethical problem always involves a complex trade-off between legitimate considerations.

True
False