当前金融行业的立法证明了该行业所面临的道德挑战。像萨班斯·奥克斯利法案(Sarbanes Oxley)这样的法案仅仅是为了确保金融监管的收紧。对投资者存在严重欺诈和投资者信心丧失的伦理担忧导致了这些法律的直接制定(Li et al.， 2008)。本报告的目的是讨论金融行业发生的一些问题，这些问题导致了这些法律的制定，重点是道德。报告指出了在这些丑闻中所面临的道德挑战，以及一些更现代的道德挑战，并对专业人士如何为这些挑战做好准备进行了批判性的讨论
The finance industry legislation of current times stands as testimony to the number of ethical challenges that the industry has faced. Acts like the Sarbanes Oxley came into existence just for ensuring financial regulation were tightened. The ethical concerns that there was major defrauding of investors and the loss of investor confidence led to the direct formulation of these laws (Li et al., 2008). The purpose of this report is to discuss some of the issues that happened in the finance industry which led to the formulation of these laws with focus on ethics. The report identifies the ethical challenges that were faced during some of these scandals and some of the more contemporary ethical challenges and presents a critical discussion on how professionals can prepare themselves for the challenges.
The ethical challenges in the financial industry are being critically discussed in the work. Contemporary ethical challenges are understood with examples from the past, as most of the ethical challenges are still the same. The introduction of newer legislation curbs the ethical challenges to a certain extent and gives the professional the freedom to report on issues of ethics as they see fit, however the ethical issues themselves have grown to becomes more complex.
The individual working in the financial industry must prepare themselves in manifold ways. They should have a personal moral compass, they must ensure to follow guidelines as set by their organization and their respective associations. In the context of conflict of interests and other issues they should approach their supervisors directly and have them resolved.