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CFA Exam Level I Ethics

Dec 2, 2023 1:00 pm 2:30 pm

Professions can only exist within an industry when those acting with transparency, integrity, candor, and trust reach a critical mass. Come join Ken Yee, CFA, CPA, JD as he analyses CFA Institute’s Code of Ethics and Standards of Professional Conduct within the Level I CFA Curriculum.

This discussion will follow CFA Institute’s Learning Outcome Statements for 2024 Level I CFA Curriculum Volume 6 Ethical and Professional Standards Modules 1-3:

  • Explain Ethics.
  • Describe the role of a code of ethics in defining a profession.
  • Describe professions and how they establish trust.
  • Describe the need for high ethical standards in investment management.
  • Explain professionalism in investment management.
  • Identify challenges to ethical behavior compare and contrast ethical standards with legal standards.
  • Describe a framework for ethical decision making.
  • Describe the structure of the CFA Institute Professional Conduct Program and the process for the enforcement of the Code and Standards.
  • Identify the six components of the Code of Ethics and the seven Standards of Professional Conduct.
  • Explain the ethical responsibilities required by the Code and Standards, including the sub-sections of each Standard.
  • Demonstrate the application of the Code of Ethics and Standards of Professional Conduct to situations involving issues of professional integrity.
  • Recommend practices and procedures designed to prevent violations of the Code of Ethics and Standards of Professional Conduct.
  • Identify conduct that conforms to the Code and Standards and conduct that violates the Code and Standards.

CFA Society Los Angeles