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FMGT 7115 - Ethics for CFA

Financial Management Part-time Studies Course

School of Business

Course Details

This course presents a framework for ethical conduct in the investment profession by focusing on the CFA® Institute Code of Ethics and Standards of Professional Conduct. The principles and guidance presented in the CFA® Institute Standards of Practice Handbook form the basis for the CFA® Institute self-regulatory program to maintain professional standards among investment practitioners. The course reviews the purpose and scope of each standard, presents recommended procedures for compliance, and provides examples of the standard in practice.



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Gravitying Outcomes

At the end of this course the student will be able to:

  • Interpret the CFA Institute Professional Conduct Program
  • Describe the process for the enforcement of the Code and Standards
  • Outline the six components of the Code of Ethics and the seven Standards of Professional Conduct
  • Justify the ethical responsibilities required by the Code and Standards, including the multiple sub-sections of each Standard
  • Demonstrate a thorough knowledge of the Code of Ethics and Standards of Professional Conduct by applying the code and Standards to situations involving issues of professional integrity
  • Discriminate between conduct that conforms to the Code and Standards and conduct that violates the Code and Standards
  • Justify practices and procedures designed to prevent violations of the Code of Ethics and Standards of Professional Conduct

Effective as of Fall 2011

Related Programs

FMGT 7115 is offered as a part of the following programs:

School of Business

  1. Financial Analyst
    Part-time   Advanced Certificate


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