A Guide to Ethics in Investments

Explains the importance of trustee duties, custody of client assets, and recognizing the penalties for violating fiduciary duties. Explores avoiding conflicts of interest and covers information on the Uniform Prudent Investor Act (UPIA). Offers guidelines on ethical behavior related to self-dealing, equal treatment of accounts, and soft dollar services.

​Updated: January 2018
Re-versioned: June 2016

What You'll Learn

After completing this course, students will be able to:
  • Describe laws that pertain to ethical behavior for an investment manager
  • Identify trustee duties relating to investment activities a​​​nd penalties for violating fiduciary duties
  • Describe common violations of conflict of interest when managing investments
  • Explain prudent investor guidelines, including the prudent man standard, the prudent expert standard, and the Uniform Prudent Investor Act


Trust officers and other trust department personnel.


Course Credits


​Questions? Please contact training@aba.com for more information



Purchase for a Team
To license this course to your bank for multiple learners, please contact ABA Training.​


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