Articles & Dilemmas
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Articles & Dilemmas

 

The ethics of client service.... what would you do?

20 Nov 19
by Anonymous
You work in wealth management, advising on, monitoring and updating the investments and superannuation of clients, some of whom carry joint investments and receive services together as a couple - like Leo and Isabelle*. To date, Leo and Isabelle have always come to the office seeking advice and making decisions together. But this week you received a call... just from Leo.

The ethics of loyalty... what would you do?

14 Nov 19
by Simon Watson
You are a fixed income portfolio manager who works as part of a close, high performing team that invests the assets of large institutional clients.

The Oath

  • Trust is the foundation of my profession.
  • I will serve all interests in good faith.
  • I will compete with honour.
  • I will pursue my ends with ethical restraint.
  • I will help create a sustainable future.
  • I will help create a more just society.
  • I will speak out against wrongdoing and support others who do the same.
  • I will accept responsibility for my actions.
  • In these and all other matters;
    My word is my bond.