Order #255058683 - Surname 1 Name Instructors Name Course...

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Surname 1 Name Instructor’s Name Course Date Standards of Professional Conduct Within the financial service industry, it is of vital importance to have personnel who comply and understand the need for laws and regulations that govern their code of conduct and practice. Moreover, these members need to have enough competency in their fields to be in a position to perform their activities in an independence manner while providing sound judgment to certain aspects. These regulations are based on the jurisdictions and countries in which they engage in their professional activities. According to (Standards of practice handbook), these professional activities are inclusive of investment advice to clients, trading of securities and other financial and investment related services. In light of this, therefore, it is evident that there is a need for regulations that can govern the conduct of individuals providing these services, as well as a code of ethics and standards that regulate the professional behavior of the same (15).
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