The Center for Ethics in Financial Services
To increase awareness of ethical issues & raise the level of ethical behavior in the financial services industry.
The Center for Ethics in Financial Services promotes ethical behavior through program offerings that go beyond the "rules" of market conduct in an effort to help executives and producers be more sensitive to ethical issues and think more critically about ethical solutions.
Read Jim Mitchell's Publication
The Ethics of Dealing with Older Clients
In an article from The Wealth Channel Magazine magazine, Jim Mitchell explains what The College's Code of Ethics means in regard to meeting the needs of senior clients.
"You may be recommending exactly the right thing for them, but if they do not understand, they may resist your recommendations..." more.
The article was originally published in The Wealth Channel Magazine, Fall 2011, TheWealthChannel.com.
Read Julie's Latest Publications
How To Talk About Ethics In The Workplace
In an article from Broker World magazine, Professor Julie Ragatz discusses the delicate nature of talking about ethics in the workplace.
In Search of a Standard
In an article from Broker World magazine, Professor Julie Ragatz discusses adopting a moral standard that allows you to weigh the relative merits of each option in order to make good decisions.
"While people often intuitively recognize the ethical principles that guide their actions, it is often helpful to clarify the ethical standards they use to make decisions....." more.
The article was originally published in Broker World Magazine, November 2011, www.brokerworldmag.com.
The Challenge Of Ethical Leadership
In an article from Broker World magazine, Professor Julie Ragatz discusses the increasingly important role of ethics in leadership.
"Ethical leaders reward ethical behavior and in doing so, create an environment in which ethical behavior is considered the norm. Keep in mind, there is an important difference between rewarding ethical behavior and punishing unethical behavior...." more.
The article was originally published in Broker World Magazine, October 2011, www.brokerworldmag.com.
The Foundation Of Ethical Responsibilities In Variable and Indexed Product Sales
In an article from Broker World magazine, Professor Julie Ragatz discusses the role for ethics in the increasingly regulated environment of the financial services industry.
"One of the questions I am asked most frequently concerns the role for ethics in the increasingly regulated environment of the financial services industry. Given the scope of regulations, is there a place for ethical obligations? I believe that there is and, more importantly, by embracing ethical responsibilities, financial services professionals will experience a deeper level of personal fulfillment..." more.
The article was originally published in Broker World Magazine, September 2011, www.brokerworldmag.com.
How Environmental Perceptions Affect Our Commitment to Act Ethically
In this recently published article in Corporate Compliance Insights, Prof. Julie Ragatz discusses how behavior is affected by how people perceive their external environment, and reviews the ways in wich percpetion can get in the way of acting ethically.
