Demonstrate an understanding of ethical principles, financial markets code of conduct, and market practices, and how it protects the integrity of the financial market conduct for financial market practitioners

Uphold and comply with the relevant ethics pronouncements or code of professional conduct and ethics during performance of individual duties and responsibilities

Identify threats to compliance with the principles of the relevant code of professional conduct and ethics

Resolve ethical dilemmas through understanding of ethical principles when engaging clients

Demonstrate sound judgement in applying and upholding the high ethical standards expected of financial market practitioners when conducting financial market activities

Monitor transactions in compliance with the relevant ethics pronouncements or code of professional conduct and ethics

Apply safeguards to eliminate the identified threats or to reduce them to an acceptable level

Comply with the relevant ethics pronouncements or code of professional conduct and ethics during performance of individual duties and responsibilities

Lead and direct team in order to set the tone at the top within the organisation

Evaluate effectiveness of safeguards applied

Uphold compliance to principles of the relevant code of professional conduct and ethics

Establish standards for ethical values, attitudes and behaviours

Develop plans to negate occurrence of ethical breaches