Assessment Task On Apply principles of professional practice to work in the financial services industry

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Task 1:

As a financial adviser discuss your responsibilities for the following ethical approaches.

  1. Conflict of interest :
  2. Duty of care :
  3. full disclosure of remuneration and fees and other conflicts of interest which may influence recommendations :
  4. Litigation may put the firm and the client's management in adversarial situations, influencing management's willingness to make full disclosures and posing a self-interest threat to the firm.
  5. Good Faith :
  6. Guidance from supervisor :
  7. Maintaining confidentiality :
  8. Mission statements :
  9. Non-discriminatory practices :
  10. Correct use of organisational property, resources, and authority :

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