Ethics and Standards of Practice

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Michael G. McMillan, CFA
5 hr 50
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 recording.

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Summary

This seven-module course is designed to familiarize participants with the CFA Code of Ethics (Code) and Standards of Professional Conduct (Standards) 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.

View the learning objectives for each module.

Ethics Course Module 1: Standard I—Professionalism
 
Ethics Course Module 2:
Standard II—Integrity of Capital Markets
 
Ethics Course Module 3:
Standard III—Duties to Clients

Ethics Course Module 4: Standard IV—Duties to Employers
 
Ethics Course Module 5:
Standard V—Investment Analysis, Recommendations, and Actions

Ethics Course Module 6: Standard VI—Conflicts of Interest

Ethics Course Module 7: Standard VII—Responsibilities as a CFA Institute Member or CFA Candidate

This content is provided for continuing professional development purposes and is not intended to be used as preparation for the CFA or CIPM Program examinations or as a substitute for study of the CFA or CIPM Program curricula.

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.

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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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