Ethical Standards for Investment Professionals: An Interactive Case-Based Course
Course Description—During this online activity, the learner will be presented with cases followed by multiple-choice questions. The responses will trigger feedback that will assist the learner in thinking critically about the issues. Finally, recommendations for complying with the CFA Institute Standards of Professional Conduct are provided. The standards addressed in this course are in the broad areas of professionalism; integrity of capital markets; and investment analysis, recommendations, and actions. In this activity, we delve into the details of six standards that have the most direct impact on ethical behavior:
• Standard I.B (Independence and Objectivity)
• Standard I.C (Misrepresentation)
• Standard II.A (Material Nonpublic Information)
• Standard II.B (Market Manipulation)
• Standard V.A (Diligence and Reasonable Basis)
• Standard V.B (Communication with Clients and Prospective Clients)
This content is provided for continuing professional development purposes and is not intended to be used as preparation for the CFA or CIPM Program examination or as a substitute for study of the CFA or CIPM Program curriculum.
Navigating the course—Each section of the course focuses on a different standard that is illustrated by two cases. Select a section and then go to the cases.
Answer the multiple-choice questions and reflect on the feedback given in both preferred and nonpreferred responses. It is very important that you read the feedback fully even when you have answered the question correctly. Finally, read the Highlights for each standard. As with the feedback for each question, the Highlights are designed to trigger a higher level of reflection and are very important to achieving the desired outcomes.
Technical requirements—Internet access, a web browser, the Flash software plug-in, and audio speakers.
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Topic
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Standards, Ethics, and Regulations
Price (USD)
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Members:
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FREE
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CFA Program Candidates:
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FREE
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Standard Rate:
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FREE
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University:
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FREE
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Details
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Posted
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7/21/2009
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Recorded On
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7/3/2009
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CE Credits
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1 CE, 1 SER
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Formats
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