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CFA Exam Level I Ethics
Sat, September 9 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 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.