CFA Level 1 Prep: 1 - Ethics and Professional Standards 0 CPE

Trust is a key part of the investment industry. The CFA operates on a strict ethical code which exam takers must know.  In this course, we’ll cover everything you need to know for the CFA section on Ethics.

We’ll cover areas such as the CFA code of ethics, Code violations and the need for ethical standards to be consistent between practitioners. We’ll also cover GIPS since understanding GIPS is a major facet of the CFA exam.

Prerequisites

No advanced preparation or prerequisites are required for this course. However being part of a series, you may consider taking all related courses in sequence: https://www.illumeo.com/curriculum/cfa-level-1-preparation

Learning Objective

• Discover the need for high ethical standards in the investment industry.
• Recognize the six components of the Code of Ethics and the seven Standards of Professional Conduct.
• Identify and distinguish between conduct that conforms to the Code and Standards and conduct that violates the Code and Standards.
• Explore why the GIPS standards were created, what parties the GIPS standards apply to, and who is served by the standards.
• Discover the key features of the GIPS standards and the fundamentals of compliance.

Last updated/reviewed: March 24, 2024