ROUTES: IVASS TRAINING - IVASS UPDATE - OAM TRAINING - CONSOB
Ivass Thematic Area: LEGAL
Ivass area module: 6. Knowledge of professional ethics standards
OAM thematic topic: Professional ethics and correctness in relations with the customer.
Consob Thematic Macro Area: RULES AND BEHAVIORS
ESMA criteria point V.III: Letter H.

OBJECTIVES

How to reconcile regulatory requests and commercial objectives? How to act in respect of the customer's needs and enhancing the role of the Consultant? How to highlight the company's key values?

This course touches on the answers to these questions, transforming correctness and responsibility into two pillars of the product and service proposition to the customer.

DURATION

1 hours

CONTENTS

Module 1 - What is ethical balance

• Is what's useful also ethical?
• Deontology
Ethics
• Ethical and unethical
• Professional ethics and insurance distribution
• The ethics of intermediaries: premise
• The ethics of intermediaries: specifically
• Professionalism
• Fairness
• The conflict of interest
• Respect the mandate and respect the customer
• The conflict of interest with the principal
• Unfair practices
• The inevitable conflicts: premise
• The regulation of the conflict of interest
• Presidia for conflicts of interest
• How to behave to respect the spirit of the laws and professional ethics
• Learning Stop

Module 2 - Ethical balance and communication with the customer

• Clarity and transparency
• Being transparent: operational phase
• Reflections
• Learning Stop

Module 3 - The ethical balance in relations with principals and with the market

• Proactivity and distribution activity
• Proactivity and distribution activity: operational phase
• Rewind
• Proactivity and customer monitoring
• Be ethical in professional life

FINAL TEST

 

TECHNICAL REQUIREMENTS:

 

Acrobat Reader

PDF documents are exported for version 5 but are compatible with later versions of Acrobat Reader released up to the date of update of this file.

Browser

  • Internet Explorer 10
  • Internet Explorer 11
  • Mozilla Firefox
  • Google Chrome

JavaScript enabled

Pop-up blocker disabled

Minimum video resolution

The courses are optimized for a 1024 × 768 display on PCs and tablets of at least 7 inches.

Speakers or headphones (in case of multimedia products)

DATA TRACKING METHOD: SCORM 1.2

CERTIFICATION / CERTIFICATE

Final reports and certificate of use compliant with the provisions of the IVASS Regulation.

DEVELOPMENT TECHNOLOGY:

HTML5

PRODUCED BY:

PIAZZA COPERNICO

Content edited by: LYVE

Teacher: Gianluca Turolla

COURSE CODE:

 0006_18_01