Ethics and Standards of Practice

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Michael G. McMillan, CFA
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

This course is designed to familiarize you with the CFA Institute Code of Ethics and Standards of Professional Conduct and reinforce ethical behavior in the global investment management industry. The ethical principles presented in this course will provide you with a frame of reference for ethical behavior for all investment professionals, heighten your awareness of how you recognize and respond to ethical dilemmas, and empower you to respond to ethical dilemmas in an appropriate manner.

The course contains seven modules, each based on a specific standard. Each module contains instructional materials about the standard and interactive exercises.

  1. Standard I – Professionalism
  2. Standard II – Integrity of Capital Markets
  3. Standard III – Duties to Clients
  4. Standard IV – Duties to Employers
  5. Standard V – Investment Analysis, Recommendations, and Actions
  6. Standard VI – Conflicts of Interest
  7. Standard VII – Responsibilities as a CFA Institute Member or CFA Candidate

This course is expected to take approximately 6-7 hours to complete. Certificates are available for individual modules.

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This content is provided for continuing professional development purposes and is not intended to be used as a substitute for study for any CFA Institute candidate program.

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Price
US$0.00 Member | US$0.00 Candidate | US$0.00 Nonmember
Credits · About the CE Program
7 CE (including 7 SER) Manage CE Credits

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