Ethics Course Module 4: Standard IV—Duties to Employers

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Michael G. McMillan, CFA
50 min
Source: CFA Institute

Michael G. McMillan, CFA, is director of Ethics and Professional Standards at CFA Institute. He is responsible for creating, sourcing, and developing educational content for CFA Institute members and investment professionals in the area of ethics and professional standards. Previously, he was a professor of accounting and finance at Johns Hopkins University’s Carey School of Business and George Washington University’s School of Business. Prior to his career in academia, he was a securities analyst and portfolio manager at Bailard, Biehl, and Kaiser and Merus Capital Management. Dr. McMillan holds a BA from the University of Pennsylvania, an MBA from Stanford University, and a PhD in accounting and finance from George Washington University. He is a certified public accountant (CPA) and a chartered investment counselor (CIC).

This information is accurate as of the date of posting.

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Summary

In Module 4, you will apply Standard IV to ethical dilemmas related to loyalty, additional compensation arrangements, and responsibilities of supervisors. In addition to identifying illegal and/or unethical conduct, you will take action in response to such conduct and recommend procedures for compliance.

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.

Note: This is the updated, tablet-friendly version of the course. You must disable the pop-up blocker on your tablet or computer to launch this course.

Topics
Standards, Ethics, and Regulations (SER)
    :
  • Ethical Practices and Guidelines
  • ·
  • Professional Standards of Practice
Credits · About the CE Program
1 CE (including 1 SER) Manage CE Credits

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