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Ethical Scenarios for Financial Services

Course Description

The International Professional Practices Framework (IPPF) requires conformance with The IIA’s Code of Ethics. The Code of Ethics is comprised of four principles, which internal auditors are expected to apply and uphold, and each principle is accompanied by rules of conduct that must be implemented to properly demonstrate the principle. The rules of conduct related to each principle help internal auditors translate the principle into practical behavioral norms. Adherence to these behavioral norms is critically important for any industry, and for any organization.

This course is intended to demonstrate how to achieve conformance with the Code of Ethics, and is geared toward helping internal auditors in a financial services environment successfully promote an ethical culture in the profession of internal auditing. The scenarios in the course demonstrate and provide real-life examples on how to deal with and resolve situations encountered by financial services internal auditors as they relate to making ethical decisions.

Learning Objective(s):

  • Understand the purpose of the Code of Ethics and how it is applied in the financial services environment.
  • Make situational decisions based on the four principles of the Code of Ethics.
  • Describe the rules of conduct that aid in interpreting the four principles of the Code of Ethics.
  • Differentiate how to apply the four principles and the rules of conduct in non-standard situations.
Course Duration: 1 day(s)
CPEs Available: 1.2
Knowledge Level: Basic
Field of Study: Behavioral Ethics
Advance Preparation: 
Delivery Method: QAS Self-Study

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