Financial Services Code of Conduct Training

AI authoring tools for easy customization
Additional languages available
Meets accessibility standards
Auto-save training, mobile-friendly
Deliver on Ethena or your LMS (SCORM)

Course Summary

In financial services, trust is the product, and a strong code of conduct turns that trust into daily action. This Ethena course helps teams act with integrity, manage risk, and know where to turn when something feels wrong.

Core obligations and who holds them
Spotting and managing key financial risks
Day-to-day decisions done right
Where to turn when something feels wrong

Included Modules:

Introduction

Sets the stage for ethical conduct in financial services, explaining why integrity, trust, and accountability sit at the heart of every decision your firm makes.

Conflicts of Interest

Shows how to recognize when personal interests, outside roles, or client relationships could compromise judgment, and how to disclose and manage them fairly and transparently.

Confidential Information

Explains how to protect client data, market-sensitive details, and material nonpublic information, keeping it secure and never using or sharing it inappropriately.

Anti-Corruption

Covers how to identify and avoid bribery, improper payments, and questionable gifts, so business is won on merit rather than influence or favors.

Environmental, Social, and Governance (ESG)

Explores how responsible practices, honest reporting, and strong governance shape your firm’s reputation and the long-term trust of clients, investors, and communities.

Why is code of conduct training important?

In financial services, the rules around handling client money, confidential information, and conflicts of interest keep the business in good standing with regulators and clients. When someone mishandles material nonpublic information, oversteps on gifts and entertainment, or stays quiet about a conflict, the fallout can mean fines, lost licenses, and damaged trust that’s hard to rebuild. This training shows employees how to make the right call in the moments that matter, so they protect clients, the firm, and their own reputations.

"Ethena helped us embed clear standards directly into how we operate and grow. That's what designing for trust at scale actually looks like."

Jacob Leon Beier Chief Compliance Officer & Counsel, TriMark USA

"I needed to train 500 people on side agreements in two weeks. Ethena made it happen — custom content, quick turnaround, no drama."

Darryl Cyphers, Jr. Senior Director of Legal Compliance, Klaviyo

"Making a custom training used to take hours. Now, it's as easy as uploading a PDF, and everything comes to you fully formatted. I was blown away."

Giovanna Travieso Lead-People Experiences & Growth, Magic Leap