Ethical and Professional Standards

Ethical and Professional Standards in short lessons: why trust matters, the Code and Standards, the guidance for every Standard, GIPS, and how to work through an ethics case.

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  1. 01

    Ethics and Trust in the Investment ProfessionLocked: included in All Access

    6 lessons · ~75 min 40 cards

    Why trust is the product the investment profession sells: what ethics is, how codes and standards define a profession, why investment management needs especially high standards, what pushes good people into bad decisions, how ethics differs from law, and a four-phase framework for deciding what to do.

  2. 02

    Code of Ethics and Standards of Professional ConductLocked: included in All Access

    5 lessons · ~63 min 40 cards

    Why ethics holds the investment industry together, how CFA Institute enforces its Code and Standards, and the map you need for every ethics question: the six components of the Code of Ethics and the seven Standards of Professional Conduct with all their sub-sections.

  3. 03

    Guidance for Standards I–VIILocked: included in All Access

    8 lessons · ~115 min 55 cards

    The working detail behind each of the seven Standards of Professional Conduct: what every sub-standard requires, how it is applied to real situations, where the line between allowed and not allowed sits, and which procedures prevent violations. This is the most heavily tested part of Ethics.

  4. 04

    Introduction to the Global Investment Performance Standards (GIPS)Locked: included in All Access

    4 lessons · ~45 min 30 cards

    An orientation to the Global Investment Performance Standards: why they exist, who may claim compliance and who gains from it, the key concepts behind them, how composites stop cherry-picking, how the firm and discretion are defined, and what independent verification does and does not prove.

  5. 05

    Ethics ApplicationLocked: included in All Access

    6 lessons · ~83 min 30 cards

    Applying the Code and Standards to realistic situations: a method for reading any ethics vignette, then case-based practice on every standard, from knowledge of the law and misrepresentation to front-running, suitability, supervision, record keeping and use of the CFA designation.

Ethical and Professional Standards in short lessons · Academy