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 2023 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.