Copy of Ethics in the Real World - case study 4

Join us in our mission to raise ethical standards by contributing to the debate through these two questions.

After reading the case study about Security State Bank and the selling of complex products, what would you do?

The firm's financial strategy impacts the advisor's independence and objectivity, leading to potential mis-selling

John's focus on increasing the sale of complex products caused him to fail to meet his responsibilities as a supervisor

Mark failed to demonstrate due loyalty to his clients when making recommendations

Mark misrepresented the risks of the structured product when making his recommendations