Learn about the regulation of the insurance business and how financial services companies uphold ethical standards related to their investment activities. Module 4 describes important securities regulations, entities involved in securities and insurance regulation, and the primary focus of insurance regulators around the world. In addition, the module explores ethical considerations for investment professionals and the role the audit function plays in insurance company compliance.
Chapter 10: Regulations and the Investment Function
Chapter 11: Ethical Standards and Governance for the Investment Function
Description:
Learn about the regulation of the insurance business and how financial services companies uphold ethical standards related to their investment activities. Module 4 describes important securities regulations, entities involved in securities and insurance regulation, and the primary focus of insurance regulators around the world. In addition, the module explores ethical considerations for investment professionals and the role the audit function plays in insurance company compliance.