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Employers in financial services must have stringent codes of professional behavior for their employees to observe. Even given such a code, how should employees honor
Employers in financial services must have stringent codes of professional behavior for their employees to observe. Even given such a code, how should employees honor their fiduciary duty to safeguard the firm's assets and treat clients equitably? What mechanisms would you suggest for keeping employees in banking, equities trading, and financial advising within the limits of the law's ethical behavior?
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