Learning Module 1 Ethics and Trust in the Investment Profession.
Situational influences in decision making will mostlikely be minimized if:
A strong compliance programs are in place.
B longer-term consequences are considered.
C individuals believe they are truthful and honest.
B is correct. Consciously considering long-term consequences will help offset situational influences. We more easily recognize and consider short-term situational influences than longer-term considerations because longer-term considerations have fewer immediate consequences than situational influences do. When decision making is too narrowly focused on short-term factors, we tend to ignore longer-term risks and consequences, and the likelihood of poor ethical decision making increases. A strong compliance policy is a good first step toward developing an ethical culture; a focus on rules adherence may not be sufficient. Emphasis on compliance may not encourage decision makers to consider the larger picture and can oversimplify decision making. Taken to the extreme, a strong compliance culture can become another situational influence that blinds employees to other important considerations. An overconfidence bias can place too much importance on internal traits and intrinsic motivations, such as“I’m honest and would not lie,”even though studies have shown that internal traits are generally not the main determinant of whether or not someone will behave ethically in a given situation.
B正確。有意識地考慮長期后果將有助于抵消情境影響。相比于長期考慮，我們更容易認識和考慮短期的情境影響，因為長期考慮比情境影響產(chǎn)生的直接后果更少。當決策過于狹隘地關注短期因素時，我們往往會忽略長期的風險和后果，而不良道德決策的可能性就會增加。強有力的合規(guī)政策是建立誠信文化的良好開端；僅僅關注規(guī)則遵守可能是不夠的。強調(diào)遵從性可能不會鼓勵決策者考慮更大的圖景，并可能過度簡化決策制定。在極端情況下，強大的合規(guī)文化可能成為另一種情境影響，使員工看不到其他重要的考慮。過度自信的偏見會過于看重內(nèi)在特質(zhì)和內(nèi)在動機，比如“我誠實，不會說謊”，盡管研究表明，內(nèi)在特質(zhì)通常不是一個人在特定情況下是否會表現(xiàn)得合乎道德的主要決定因素。
