Communication, Ethics and Professional Responsibility for Financial Professionals

FINC

330

Communication, Ethics and Professional Responsibility for Financial Professionals

This course will address various ethical situations that may arise over the course of a financial professional’s career. Students will learn to communicate—verbally and in writing— their positions on how a financial professional should handle such cases based on the Professional Codes of Conduct for certified public accountants (CPAs) and chartered financial analysts (CFAs), respectively. The course will also explore and enhance interviewing and listening skills, documentation of client communications, client engagement letters, summary of engagement findings and/or concerns, appropriate email communications, and oral presentations.

Fall, Spring

Undergraduate

No

013712