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High Risk Investment Brokerage Firms Ethical Violations Paper
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For this assignment, research high risk investment brokerage firms that have been indicted or convicted of ethical violations to provide insight and understanding of this market segment.
Write a six-to-eight page paper in which you:
- Explain why investors may be attracted to high-risk investments such as exchange traded derivatives, global funds, and other complex investment vehicles.
- Analyze the risk associated with exchange-traded derivatives, such as futures and options, and what brokers might do to minimize the risk to investors.
- Discuss the challenges related to regulating a complex global financial firm and make suggestions for regulatory improvements.
- Analyze the ethical violations of the company you researched.
- Discuss the consequences that you believe to be appropriate for the senior management of the firm you researched and the implications for brokers trading in high-risk investments.
- Create a scenario in which you believe the use of high-risk investments would be beneficial for the investor. Provide support for your rationale.
- Use at least five academic resources to support your work. Two should come from digital sources. Note: Wikipedia and other “pedia” Websites do not qualify as academic resources.
This course requires the use of APA writing standards in case study format.
The specific course learning outcome associated with this assignment is:
- Evaluate risks, challenges, and benefits associated with high-risk investments such as exchange-traded derivatives, global funds, and other complex investment vehicles.