Code of Ethics and Standards of
Professional Conduct (2023 Level I CFA®
Exam – Ethics)
Analyst Prep
This is level one of the CFA program, the topic on ethics and professional
standards. This is a very short reading because it is taken verbatim out of
the handbook. my advice to you is to go ahead and get a handbook just
like I did when I went through the program hundreds of years ago. the
handbook is really part of the education process and as I was reading
through these years and years ago it finally dawned on me. You know
being an academic being a professor. It dawns on me that thinking about
ethics and professional responsibilities has to be a way of life. The CFA
institute is very proud of its work as well. It should be but it recognizes
that our economy and the investment industry is a dynamic process.
1992 added a performance presentation standard and in 2005. This is
about the time when I was taking level three. I think and Uh, you know.
There were some major changes in 2005.
The new principle is more expansive and more inclusive and then of
course it includes the ultimate benefit of society all right how about old
versus new with the responsibility of supervisors here and so notice the
bolded in in the bottom there to ensure that anyone subject to their
supervision or authority complies with all of the stuff. we want to keep
that in uphold the rules governing the global capital markets, which then
includes upholding the rules. the CFA Institute Board of Governors has
five bullet point responsibilities and these things includes such things as
talent management, Uh, risk management, UH, pursuing, integrity and
pursuing integrity. The board also has oversight of the professional
conduct program and the disciplinary Review Committee. I was a little
uncomfortable reading these because the names and the firms are
involved, but you 'll see violations throughout the entire program. as you
read. Through these at the very end, you 'll read what the ultimate
decision was from the DRC and those decisions will be something like you
know their one-year suspension. Something like that. professional
conduct staff is going to establish and review professional conduct
policies that relate to the CFA Institute.
There are still some acceptable standards of behavior in the CFA
institute. I tell my children all the time the less you 're on social media
the better off you are. I imagine that the staff is pretty openminded and
they 're going to say. We appreciate your honesty and your integrity and
this is what we're going to do. The CFA institute encourages the firms to
Professional Conduct (2023 Level I CFA®
Exam – Ethics)
Analyst Prep
This is level one of the CFA program, the topic on ethics and professional
standards. This is a very short reading because it is taken verbatim out of
the handbook. my advice to you is to go ahead and get a handbook just
like I did when I went through the program hundreds of years ago. the
handbook is really part of the education process and as I was reading
through these years and years ago it finally dawned on me. You know
being an academic being a professor. It dawns on me that thinking about
ethics and professional responsibilities has to be a way of life. The CFA
institute is very proud of its work as well. It should be but it recognizes
that our economy and the investment industry is a dynamic process.
1992 added a performance presentation standard and in 2005. This is
about the time when I was taking level three. I think and Uh, you know.
There were some major changes in 2005.
The new principle is more expansive and more inclusive and then of
course it includes the ultimate benefit of society all right how about old
versus new with the responsibility of supervisors here and so notice the
bolded in in the bottom there to ensure that anyone subject to their
supervision or authority complies with all of the stuff. we want to keep
that in uphold the rules governing the global capital markets, which then
includes upholding the rules. the CFA Institute Board of Governors has
five bullet point responsibilities and these things includes such things as
talent management, Uh, risk management, UH, pursuing, integrity and
pursuing integrity. The board also has oversight of the professional
conduct program and the disciplinary Review Committee. I was a little
uncomfortable reading these because the names and the firms are
involved, but you 'll see violations throughout the entire program. as you
read. Through these at the very end, you 'll read what the ultimate
decision was from the DRC and those decisions will be something like you
know their one-year suspension. Something like that. professional
conduct staff is going to establish and review professional conduct
policies that relate to the CFA Institute.
There are still some acceptable standards of behavior in the CFA
institute. I tell my children all the time the less you 're on social media
the better off you are. I imagine that the staff is pretty openminded and
they 're going to say. We appreciate your honesty and your integrity and
this is what we're going to do. The CFA institute encourages the firms to
