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.
This course isn't currently offered through IZUNA Part-time Studies. Please check back next term or subscribe to receive email updates.
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
FMGT 7115 is offered as a part of the following programs:
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